[Federal Register Volume 87, Number 25 (Monday, February 7, 2022)]
[Proposed Rules]
[Pages 6948-6981]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-02279]



[[Page 6947]]

Vol. 87

Monday,

No. 25

February 7, 2022

Part II





Department of Energy





-----------------------------------------------------------------------





10 CFR Parts 429 and 431





Energy Conservation Program: Test Procedure for Computer Room Air 
Conditioners; Proposed Rule

  Federal Register / Vol. 87 , No. 25 / Monday, February 7, 2022 / 
Proposed Rules  

[[Page 6948]]


-----------------------------------------------------------------------

DEPARTMENT OF ENERGY

10 CFR Parts 429 and 431

[EERE-2021-BT-TP-0017]
RIN 1904-AE45


Energy Conservation Program: Test Procedure for Computer Room Air 
Conditioners

AGENCY: Office of Energy Efficiency and Renewable Energy, Department of 
Energy.

ACTION: Notice of proposed rulemaking and request for comment.

-----------------------------------------------------------------------

SUMMARY: The U.S. Department of Energy (DOE or the Department) proposes 
to amend its test procedure for computer room air conditioners (CRACs) 
to incorporate by reference the latest draft version of the relevant 
industry consensus test standard. DOE also proposes to adopt the net 
sensible coefficient of performance (NSenCOP) metric in its test 
procedures for CRACs. Additionally, DOE proposes to amend certain 
provisions for representations and enforcement. DOE welcomes written 
comments from the public on any subject within the scope of this 
document (including topics not raised in this proposal), as well as the 
submission of data and other relevant information.

DATES: 
    Comments: DOE will accept comments, data, and information regarding 
this notice of proposed rulemaking (NOPR) no later than April 8, 2022. 
See section V, ``Public Participation,'' for details.
    Meeting: DOE will hold a webinar on Tuesday, March, 15, 2022, from 
1:00 p.m. to 4:00 p.m. See section V, ``Public Participation,'' for 
webinar registration information, participant instructions, and 
information about the capabilities available to webinar participants.

ADDRESSES: Interested persons are encouraged to submit comments using 
the Federal eRulemaking Portal at www.regulations.gov. Follow the 
instructions for submitting comments.
    Alternatively, interested persons may submit comments, identified 
by docket number EERE-2021-BT-TP-0017, by any of the following methods:
    (1) Federal eRulemaking Portal: www.regulations.gov. Follow the 
instructions for submitting comments.
    (2) Email: [email protected]. Include docket 
number EERE-2021-BT-TP-0017 in the subject line of the message.
    No telefacsimiles (faxes) will be accepted. For detailed 
instructions on submitting comments and additional information on this 
process, see section V of this document (Public Participation).
    Although DOE has routinely accepted public comment submissions 
through a variety of mechanisms, including the Federal eRulemaking 
Portal, email, postal mail, or hand delivery/courier, the Department 
has found it necessary to make temporary modifications to the comment 
submission process in light of the ongoing COVID-19 pandemic. DOE is 
currently suspending receipt of public comments via postal mail and 
hand delivery/courier. If a commenter finds that this change poses an 
undue hardship, please contact Appliance Standards Program staff at 
(202) 586-1445 to discuss the need for alternative arrangements. Once 
the COVID-19 pandemic health emergency is resolved, DOE anticipates 
resuming all of its regular options for public comment submission, 
including postal mail and hand delivery/courier.
    Docket: The docket, which includes Federal Register notices, public 
meeting/webinar attendee lists and transcripts, comments, and other 
supporting documents/materials, is available for review at 
www.regulations.gov. All documents in the docket are listed in the 
www.regulations.gov index. However, some documents listed in the index, 
such as those containing information that is exempt from public 
disclosure, may not be publicly available.
    The docket web page can be found at: www.regulations.gov/docket/EERE-2021-BT-TP-0017. The docket web page contains instructions on how 
to access all documents, including public comments, in the docket. See 
section V (Public Participation) for information on how to submit 
comments through www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: 
    Ms. Catherine Rivest, U.S. Department of Energy, Office of Energy 
Efficiency and Renewable Energy, Building Technologies Office, EE-5B, 
1000 Independence Avenue SW, Washington, DC 20585-0121. Telephone: 
(202) 586-7335. Email: [email protected].
    Mr. Eric Stas, U.S. Department of Energy, Office of the General 
Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC 20585-0121. 
Telephone: (202) 586-5827. Email: [email protected].
    For further information on how to submit a comment, review other 
public comments and the docket, or participate in the webinar, contact 
the Appliance and Equipment Standards Program staff at (202) 287-1445 
or by email: [email protected].

SUPPLEMENTARY INFORMATION: DOE proposes to incorporate by reference the 
following draft industry standard into parts 429 and 431:
    Air-Conditioning, Heating and Refrigeration Institute (``AHRI'') 
Standard 1360-202X Draft, ``Performance Rating of Computer and Data 
Processing Room Air Conditioners (``Draft Standard'').'' AHRI Standard 
1360-202X Draft is in draft form and its text was provided to the 
Department for the purposes of review only during the drafting of this 
NOPR. DOE intends to update the reference to the final published 
version of AHRI 1360-202X Draft in the Final Rule, unless there are 
substantive changes between the draft and published versions, in which 
case DOE may adopt the substance of the AHRI 1360-202X Draft or provide 
additional opportunity for comment on the changes to the industry 
consensus test procedure.
    A copy of AHRI 1360-202X Draft is attached in this docket for 
review.
    DOE proposes to maintain and update the previously approved 
incorporation by reference for the following industry standards in part 
431:
    ANSI/ASHRAE Standard 37-2009, ``Methods of Testing for Rating 
Electrically Driven Unitary Air-Conditioning and Heat Pump Equipment,'' 
ASHRAE approved June 24, 2009.
    Copies of ANSI/ASHRAE Standard 37-2009 can be obtained from the 
American National Standards Institute, 25 W 43rd Street, 4th Floor, New 
York, NY 10036, (212) 642-4900, or online at: webstore.ansi.org/.
    American National Standards Institute (``ANSI'')/American Society 
of Heating, Refrigerating, and Air-Conditioning Engineers (``ASHRAE'') 
Standard 127-2007 ``Method of Testing for Rating Computer and Data 
Processing Room Unitary Air Conditioners,'' ANSI approved June 28, 
2007.
    Copies of ANSI/ASHRAE Standard 127-2007 can be obtained from the 
American National Standards Institute, 25 W 43rd Street, 4th Floor, New 
York, NY 10036, (212) 642-4900, or online at: https://webstore.ansi.org/.
    DOE proposes to incorporate by reference the following industry 
standard in part 431:
    ANSI/ASHRAE Standard 127-2020, ``Method of Testing for Rating 
Computer and Data Processing Room Unitary Air Conditioners,'' ANSI 
approved November 30, 2020.

[[Page 6949]]

    Copies of ANSI/ASHRAE Standard 127-2020 can be obtained from the 
American National Standards Institute, 25 W 43rd Street, 4th Floor, New 
York, NY 10036, (212) 642-4900, or online at: webstore.ansi.org/.
    See section IV.M of this document for further discussion of these 
standards.

Table of Contents

I. Authority and Background
    A. Authority
    B. Background
II. Synopsis of the Notice of Proposed Rulemaking
III. Discussion
    A. Scope of Applicability
    B. Proposed Organization of the CRAC Test Procedure
    C. Updates to Industry Test Standards
    D. Definitions
    1. CRAC Definition
    2. CRAC Configuration Definitions
    a. Mounting Configurations
    b. Flow Direction
    c. Ducted and Non-Ducted Definitions
    d. Fluid Economizer
    E. Metric
    1. NSenCOP
    a. Indoor Entering Air Temperatures
    b. Entering Water Temperatures
    c. Indoor Air ESP Requirements
    d. Energy Consumption of Heat Rejection Components
    e. Conclusion
    2. Integrated Efficiency Metric
    3. Part-Load Operation and Air Circulation Mode
    F. Test Method
    1. Standard Configurations
    2. Ceiling-Mounted CRACs
    3. Non-Floor Mounted CRACs
    4. ANSI/ASHRAE 37 Test Requirements
    a. Test Tolerances
    b. Enclosure for CRACs With Compressors in Indoor Units
    c. Secondary Methods for Capacity Measurement
    5. Ducted Condensers
    6. Minimum External Static Pressure Requirements
    7. Refrigerant Charging Instructions
    G. Configuration of Unit Under Test
    1. Specific Components
    2. Non-Standard Indoor Fan Motors
    H. General Comments
    I. Represented Values
    1. Multiple Refrigerants
    2. Net Sensible Cooling Capacity
    3. Validation Class for Glycol-Cooled CRACs
    J. Test Procedure Costs and Impact
    K. Reserved Appendices for Test Procedures for Commercial Air 
Conditioning and Heating Equipment
    L. Compliance Date
IV. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866
    B. Review Under the Regulatory Flexibility Act
    1. Description of Reasons Why Action Is Being Considered
    2. Objective of, and Legal Basis for, Rule
    3. Description and Estimate of Small Entities Regulated
    4. Description and Estimate of Compliance Requirements
    5. Duplication, Overlap, and Conflict With Other Rules and 
Regulations
    6. Significant Alternatives to the Rule
    C. Review Under the Paperwork Reduction Act of 1995
    D. Review Under the National Environmental Policy Act of 1969
    E. Review Under Executive Order 13132
    F. Review Under Executive Order 12988
    G. Review Under the Unfunded Mandates Reform Act of 1995
    H. Review Under the Treasury and General Government 
Appropriations Act, 1999
    I. Review Under Executive Order 12630
    J. Review Under Treasury and General Government Appropriations 
Act, 2001
    K. Review Under Executive Order 13211
    L. Review Under Section 32 of the Federal Energy Administration 
Act of 1974
    M. Description of Materials Incorporated by Reference
V. Public Participation
    A. Participation in the Webinar
    B. Procedures for Submitting Prepared General Statements for 
Distribution
    C. Conduct of the Webinar
    D. Submission of Comments
    E. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary

I. Authority and Background

    Small, large, and very large commercial package air conditioning 
and heating equipment are included in the list of ``covered equipment'' 
for which DOE is authorized to establish and amend energy conservation 
standards and test procedures. (42 U.S.C. 6311(1)(B)-(D)) Commercial 
package air conditioning and heating equipment includes CRACs as an 
equipment category. The current DOE test procedures for CRACs are 
codified at Title 10 of the Code of Federal Regulations (CFR), part 
431, subpart F, appendix A, ``Uniform Test Method for the Measurement 
of Energy Consumption of Air-Cooled Small ([gteqt]65,000 Btu/h),\1\ 
Large, and Very Large Commercial Package Air Conditioning and Heating 
Equipment'' (appendix A). The following sections discuss DOE's 
authority to establish and amend test procedures for CRACs, as well as 
relevant background information regarding DOE's consideration of and 
proposed amendments to the test procedures for this equipment.
---------------------------------------------------------------------------

    \1\ ``Btu/h'' refers to British thermal units per hour.
---------------------------------------------------------------------------

A. Authority

    The Energy Policy and Conservation Act, as amended (EPCA),\2\ among 
other things, authorizes DOE to regulate the energy efficiency of a 
number of consumer products and certain industrial equipment. (42 
U.S.C. 6291-6317) Title III, Part C \3\ of EPCA, Public Law 94-163 (42 
U.S.C. 6311-6317, as codified), added by Public Law 95-619, Title IV, 
section 441(a), established the Energy Conservation Program for Certain 
Industrial Equipment, which sets forth a variety of provisions designed 
to improve energy efficiency. This covered equipment includes small, 
large, and very large commercial package air conditioning and heating 
equipment. (42 U.S.C. 6311(1)(B)-(D)) Commercial package air 
conditioning and heating equipment includes CRACs, which are the 
subject of this NOPR.
---------------------------------------------------------------------------

    \2\ All references to EPCA in this document refer to the statute 
as amended through the Energy Act of 2020, Public Law 116-260 (Dec. 
27, 2020).
    \3\ For editorial reasons, upon codification in the U.S. Code, 
Part C was redesignated Part A-1.
---------------------------------------------------------------------------

    The energy conservation program under EPCA consists essentially of 
four parts: (1) Testing, (2) labeling, (3) Federal energy conservation 
standards, and (4) certification and enforcement procedures. Relevant 
provisions of EPCA include definitions (42 U.S.C. 6311), energy 
conservation standards (42 U.S.C. 6313), test procedures (42 U.S.C. 
6314), labeling provisions (42 U.S.C. 6315), and the authority to 
require information and reports from manufacturers (42 U.S.C. 6316).
    The Federal testing requirements consist of test procedures that 
manufacturers of covered equipment must use as the basis for: (1) 
Certifying to DOE that their equipment complies with the applicable 
energy conservation standards adopted pursuant to EPCA (42 U.S.C. 
6316(b); 42 U.S.C. 6296), and (2) making representations about the 
efficiency of that equipment (42 U.S.C. 6314(d)). Similarly, DOE uses 
these test procedures to determine whether the equipment complies with 
relevant standards promulgated under EPCA.
    Federal energy efficiency requirements for covered equipment 
established under EPCA generally supersede State laws and regulations 
concerning energy conservation testing, labeling, and standards. (42 
U.S.C. 6316(a) and (b); 42 U.S.C. 6297) DOE may, however, grant waivers 
of Federal preemption in limited circumstances for particular State 
laws or regulations, in accordance with the procedures and other 
provisions of EPCA. (42 U.S.C. 6316(b)(2)(D))
    Under 42 U.S.C. 6314, the statute also sets forth the criteria and 
procedures DOE is required to follow when prescribing or amending test 
procedures for covered equipment. Specifically, EPCA requires that any 
test procedure prescribed or amended shall be reasonably designed to 
produce test results which measure energy efficiency, energy use, or 
estimated annual operating cost of covered

[[Page 6950]]

equipment during a representative average use cycle and requires that 
test procedures not be unduly burdensome to conduct. (42 U.S.C. 
6314(a)(2)).
    As discussed, CRACs are a category of commercial package air 
conditioning and heating equipment. EPCA requires that the test 
procedures for commercial package air conditioning and heating 
equipment be those generally accepted industry testing procedures or 
rating procedures developed or recognized by AHRI or by ASHRAE, as 
referenced in ASHRAE Standard 90.1, ``Energy Standard for Buildings 
Except Low-Rise Residential Buildings'' (ASHRAE Standard 90.1). (42 
U.S.C. 6314(a)(4)(A)) Further, if such an industry test procedure is 
amended, DOE must update its test procedure to be consistent with the 
amended industry test procedure, unless DOE determines, by rule 
published in the Federal Register and supported by clear and convincing 
evidence, that such amended test procedure would not meet the 
requirements in 42 U.S.C. 6314(a)(2) and (3) related to representative 
use and test burden. (42 U.S.C. 6314(a)(4)(B))
    EPCA also requires that, at least once every seven years, DOE 
evaluate test procedures for each type of covered equipment, including 
commercial package air conditioning and heating equipment (of which 
CRACs are a category), to determine whether amended test procedures 
would more accurately or fully comply with the requirements for the 
test procedures not to be unduly burdensome to conduct and be 
reasonably designed to produce test results that reflect energy 
efficiency, energy use, and estimated operating costs during a 
representative average use cycle. (42 U.S.C. 6314(a)(1)-(3)).
    If DOE determines that a test procedure amendment is warranted, it 
must publish proposed test procedures in the Federal Register and 
afford interested persons an opportunity (of not less than 45 days 
duration) to present oral and written data, views, and arguments on the 
proposed test procedures. (42 U.S.C. 6314(b)) If DOE determines that 
test procedure revisions are not appropriate, DOE must publish in the 
Federal Register its determination not to amend the test procedures. 
(42 U.S.C. 6314(a)(1)(A)(ii))
    DOE is publishing this NOPR proposing amendments to the test 
procedures for CRACs in satisfaction of its aforementioned obligations 
under EPCA.

B. Background

    On May 16, 2012, DOE published a final rule in the Federal 
Register, which, in relevant part, adopted test procedures for CRACs 
that incorporate by reference ANSI/ASHRAE Standard 127-2007, ``Method 
of Testing for Rating Computer and Data Processing Room Unitary Air 
Conditioners'' (ANSI/ASHRAE 127-2007), which is the industry test 
procedure referenced in ASHRAE Standard 90.1-2010 for CRACs, as the 
basis for the Federal test procedure for such equipment. 77 FR 28928, 
28989 (May 16, 2012). On October 26, 2016, ASHRAE published ASHRAE 
Standard 90.1-2016, which included updates to the test procedure 
references for CRACs as compared to ASHRAE Standard 90.1-2010 and 
ASHRAE Standard 90.1-2013.\4\ This action by ASHRAE triggered DOE's 
obligations under 42 U.S.C. 6314(a)(4)(B), as outlined previously. On 
July 25, 2017, DOE published a request for information (RFI) (the July 
2017 ASHRAE TP RFI) in the Federal Register to collect information and 
data to consider amendments to DOE's test procedures for commercial 
package air conditioning and heating equipment, given the test 
procedure updates included in ASHRAE Standard 90.1-2016. 82 FR 34427. 
As part of the July 2017 ASHRAE TP RFI, DOE identified several aspects 
of the currently applicable Federal test procedure that might warrant 
modifications, in particular: Incorporation by reference of the most 
recent version of the relevant industry standard(s); efficiency metrics 
and calculations; clarification of test methods; and any additional 
topics that may inform DOE's decisions in a future test procedure 
rulemaking, including methods to reduce regulatory burden while 
ensuring the test procedures' accuracy.
---------------------------------------------------------------------------

    \4\ More specifically, ASHRAE Standard 90.1-2016 references AHRI 
1360-2016, ``Standard for Performance Rating of Computer and Data 
Processing Room Air Conditioners'' for CRACs.
---------------------------------------------------------------------------

    DOE received a number of comments regarding CRACs from interested 
parties in response to the July 2017 ASHRAE TP RFI, which covered 
multiple categories of equipment. Table I-1 lists the commenters 
relevant to CRACs, along with each commenter's abbreviated name used 
throughout this NOPR. Discussion of the relevant comments, and DOE's 
responses, are provided in the appropriate sections of this document. A 
parenthetical reference at the end of a comment quotation or paraphrase 
provides the location of the item in the public record.\5\
---------------------------------------------------------------------------

    \5\ The parenthetical reference provides a reference for 
information located in a docket related to DOE's rulemaking to 
develop test procedures for CRACs. As noted, the July 2017 ASHRAE TP 
RFI addressed 4 different equipment categories and is available 
under docket number EERE-2017-BT-TP-0018. As this NOPR addresses 
only CRACs, it has been assigned a separate docket number (i.e., 
EERE-2021-BT-TP-0017). The references are arranged as follows: 
(Commenter name, comment docket ID number, page of that document).

Table I-1--Interested Parties Providing CRAC-Related Written Comments in Response to the July 2017 ASHRAE TP RFI
----------------------------------------------------------------------------------------------------------------
                   Name                                    Abbreviation                           Type
----------------------------------------------------------------------------------------------------------------
Air-Conditioning, Heating, and             AHRI.......................................  IR.
 Refrigeration Institute.
Appliance Standards Awareness Project,     Joint Advocates............................  EA.
 Alliance to Save Energy, American
 Council for an Energy-Efficient Economy,
 Northwest Energy Efficiency Alliance,
 and Northwest Power and Conservation
 Council *.
Lennox International Inc.................  Lennox.....................................  M.
National Comfort Institute...............  NCI........................................  IR.
Pacific Gas and Electric Company,          California Investor-Owned Utilities (CA      U.
 Southern California Gas Company, San       IOUs).
 Diego Gas and Electric, and Southern
 California Edison.
----------------------------------------------------------------------------------------------------------------
EA: Efficiency/Environmental Advocate; IR: Industry Representative; M: Manufacturer; U: Utility.
* The Northwest Power and Conservation Council is an interstate compact agency, whose mission in part is to
  promote energy efficiency.

    Following the July 2017 ASHRAE TP RFI, AHRI published additional 
updates to its test procedure standard for CRACs on December 21, 2017 
(AHRI Standard 1360-2017, ``2017 Standard for Performance Rating of 
Computer and Data Processing Room Air Conditioners'' (AHRI 1360-2017)). 
ASHRAE published ASHRAE Standard

[[Page 6951]]

90.1-2019 on October 24, 2019, which updated the test procedure 
referenced for CRACs from AHRI 1360-2016 to AHRI 1360-2017 and added 
equipment classes for ceiling-mounted CRACs. Following the publication 
of ASHRAE Standard 90.1-2019, AHRI is currently working on an update to 
AHRI Standard 1360 (i.e., AHRI Standard 1360-202X Draft, ``Performance 
Rating of Computer and Data Processing Room Air Conditioners (``Draft 
Standard'')'' (AHRI 1360-202X Draft)). These industry test standards 
are discussed further in section III.C of this NOPR.

II. Synopsis of the Notice of Proposed Rulemaking

    In this NOPR, DOE proposes to update the Federal test procedure for 
CRACs consistent with the most recent draft version of the relevant 
industry consensus test procedure, AHRI 1360-202X Draft. If AHRI 
publishes a final version of AHRI 1360-202X Draft prior to DOE 
publishing a final rule, DOE intends to update the referenced industry 
test standard in the DOE test procedure to reference the latest version 
of AHRI 1360. If a finalized version of AHRI 1360-202X Draft is not 
published before the final rule or if there are substantive changes 
between the draft and published versions of AHRI 1360, DOE may adopt 
the substance of the AHRI 1360-202X Draft or provide additional 
opportunity for comment on the final version of that industry consensus 
standard. Specifically, DOE proposes to update its regulations at 10 
CFR 431.96, ``Uniform test method for the measurement of energy 
efficiency of commercial air conditioners and heat pumps,'' as follows: 
(1) Incorporate by reference the updated version of AHRI 1360 and 
relevant industry standards referenced in that version of AHRI 1360; 
(2) establish provisions for determining NSenCOP for CRACs; (3) clarify 
the definition of ``computer room air conditioner'' to include 
consideration of how equipment is marketed; and (4) amend certain 
provisions for representations and enforcement in 10 CFR part 429, 
consistent with the changes proposed to the test procedure. In terms of 
implementation, DOE proposes to add new appendices E and E1 to subpart 
F of part 431, ``Uniform test method for measuring the energy 
consumption of computer room air conditioners,'' (appendix E and 
appendix E1, respectively). The current DOE test procedure for CRACs 
would be relocated to appendix E without change, and the new test 
procedure adopting the substance of AHRI 1360-202X Draft would be 
established in appendix E1 for determining NSenCOP. Compliance with 
appendix E1 would not be required until such time as compliance is 
required with amended energy conservation standards for CRACs that rely 
on NSenCOP, should DOE adopt such standards. After compliance with 
appendix E1 would be required, appendix E would no longer be used as 
part of the Federal test procedure.
    DOE's proposed actions are summarized in Table II.1 and addressed 
in detail in section III of this document.

  Table II.1--Summary of Changes in Proposed Test Procedure Relative to
                         Current Test Procedure
------------------------------------------------------------------------
                                  Proposed test
 Current DOE test procedure         procedure            Attribution
------------------------------------------------------------------------
Incorporates by reference     Incorporates by       Updates to the
 ANSI/ASHRAE 127-2007.         reference in a new    applicable industry
                               appendix E1- AHRI     test procedures.
                               1360-202X Draft,
                               ANSI/ASHRAE 127-
                               2020, and ANSI/
                               ASHRAE 37-2009.
Includes provisions for       Includes provisions   Updates to the
 determining SCOP.             for determining       applicable industry
                               NSenCOP.              test procedures.
CRAC definition criteria      CRAC definition       To more clearly
 include: (1) Used in          criteria include:     define CRACs and
 computer rooms (or similar    (1) Marketed for      distinguish from
 applications); (2) whether    use in computer       other equipment
 rated for SCOP and tested     rooms (or similar     categories.
 in accordance with 10 CFR     applications); and
 431.96; and (3) not a         (2) not a consumer
 consumer product.             product.
Does not specify provisions   Defines roof, wall,   Updates to the
 specific to testing roof,     and ceiling-mounted   applicable industry
 wall, and ceiling-mounted     CRAC configurations   test procedures.
 CRAC units.                   and provides test
                               provisions specific
                               to such units.
Does not include CRAC-        Includes provisions   Establish CRAC-
 specific provisions for       in 10 CFR 429.43      specific provisions
 determination of              specific to CRACs     for determination
 represented values in 10      to determine          of represented
 CFR 429.43.                   represented values    values.
                               for units approved
                               for use with
                               multiple
                               refrigerants,
                               prescribe
                               represented cooling
                               capacity multiples,
                               prevent cooling
                               capacity over-
                               rating, and specify
                               configuration of
                               unit under test.
Does not include CRAC-        Adopts product-       Establish provisions
 specific enforcement          specific              for DOE testing of
 provisions in 10 CFR          enforcement           CRACs.
 429.134.                      provisions for
                               CRACs regarding
                               verification of
                               cooling capacity
                               and configuration
                               of unit under test.
------------------------------------------------------------------------

    DOE has tentatively determined that the proposed amendments 
described in section III of this NOPR regarding the establishment of 
appendix E would not alter the measured efficiency of CRACs or require 
retesting solely as a result of DOE's adoption of the proposed 
amendments to the test procedure, if made final. DOE has tentatively 
determined, however, that the proposed test procedure amendments in 
appendix E1 would, if adopted, alter the measured efficiency of CRACs 
and that such amendments are consistent with the updated industry test 
procedure. Further, compliance with the proposed appendix E1 and the 
proposed amendments to the representation requirements in 10 CFR 429.43 
would not be required until the compliance date of amended standards 
denominated in terms of NSenCOP. Additionally, DOE has tentatively 
determined that the proposed amendments, if made final, would not 
increase the cost of testing. Discussion of DOE's proposed actions are 
addressed in further detail in section III of this NOPR.

III. Discussion

A. Scope of Applicability

    This rulemaking applies to CRACs. DOE defines ``computer room air 
conditioner'' as a basic model of commercial package air-conditioning 
and heating equipment (packaged or

[[Page 6952]]

split) that is: Used in computer rooms, data processing rooms, or other 
information technology cooling applications; rated for SCOP and tested 
in accordance with 10 CFR 431.96; and is not a covered consumer product 
under 42 U.S.C. 6291(1)-(2) and 42 U.S.C. 6292. A CRAC may be provided 
with, or have as available options, an integrated humidifier, 
temperature and/or humidity control of the supplied air, and reheating 
function. 10 CFR 431.92.

B. Proposed Organization of the CRAC Test Procedure

    DOE is proposing to relocate and centralize the current test 
procedure for CRACs to a new appendix E to subpart F of 10 CFR part 
431, without change. As proposed, appendix E would not amend the 
current test procedure. The test procedure as provided in proposed 
appendix E would continue to reference ANSI/ASHRAE 127-2007 and provide 
instructions for determining SCOP. Correspondingly, DOE is proposing to 
update the existing incorporation by reference of ANSI/ASHRAE 127-2007 
at 10 CFR 431.95 so that the incorporation by reference applies to 
appendix E, rather than 10 CFR 431.96. The proposed appendix E would 
also centralize the additional test provisions currently applicable 
under 10 CFR 431.96 (i.e., optional break-in period for tests conducted 
using ANSI/ASHRAE 127-2007 (currently at 10 CFR 431.96(c)) and 
additional provisions for equipment set-up (currently at 10 CFR 
431.96(e)). As proposed, CRACs would be required to be tested according 
to appendix E until such time as compliance is required with an amended 
energy conservation standard that relies on the NSenCOP metric, should 
DOE adopt such a standard.
    Accordingly, DOE also is proposing in parallel an amended test 
procedure for CRACs that adopts AHRI 1360-202X Draft in a new appendix 
E1 to subpart F of 10 CFR part 431. DOE proposes to adopt the substance 
of the updated draft version of AHRI 1360, including the NSenCOP 
metric, as discussed in the following sections. To this end, DOE 
intends to propose to incorporate by reference the final published 
version of AHRI 1360-202X Draft in the final rule, unless there are 
substantive changes between the draft and published versions, in which 
case DOE may adopt the substance of the AHRI 1360-202X Draft or provide 
additional opportunity for comment on changes presented in the final 
version of the industry consensus test standard. As proposed, CRACs 
would not be required to be tested according to the test procedure in 
proposed appendix E1 until such time as compliance is required with an 
amended energy conservation standard that relies on the NSenCOP metric, 
should DOE adopt such a standard.

C. Updates to Industry Test Standards

    As noted previously, DOE's current test procedure for CRACs is 
codified at 10 CFR 431.96 and incorporates by reference ANSI/ASHRAE 
Standard 127-2007,\6\ which is the test procedure recognized by ASHRAE 
Standard 90.1-2010 for CRACs. However, the most recent version of 
ASHRAE Standard 90.1 (i.e., the 2019 edition) recognizes AHRI 1360-2017 
as the test procedure for CRACs.
---------------------------------------------------------------------------

    \6\ While ANSI/ASHRAE Standard 127-2007 is incorporated by 
reference in its entirety, Table 1 to 10 CFR 431.96 (which defines 
the applicable test methods for each category of equipment) excludes 
section 5.11 of ANSI/ASHRAE Standard 127-2007 for testing CRACs. The 
test procedure also includes additional provisions related to break-
in period and test set-up. See 10 CFR 431.96(c) and (e).
---------------------------------------------------------------------------

    After publication of AHRI 1360-2017, DOE and other stakeholders 
supported the AHRI 1360 committee in its process to further update AHRI 
Standard 1360. DOE understands that this new update is currently in 
draft form (i.e., AHRI 1360-202X Draft) and will supersede AHRI 1360-
2017. AHRI 1360-202X Draft references ANSI/ASHRAE 127-2020, ``Method of 
Testing for Rating Computer and Data Processing Room Unitary Air 
Conditioners'' (ANSI/ASHRAE 127-2020) \7\ and ANSI/ASHRAE 37-2009, 
``Methods Of Testing For Rating Electrically Driven Unitary Air-
Conditioning And Heat Pump Equipment (ANSI/ASHRAE 37-2009). Both AHRI 
1360-2017 and AHRI 1360-202X Draft include significant changes from 
ANSI/ASHRAE 127-2007, including the use of NSenCOP instead of SCOP as 
the test metric. Both efficiency metrics (NSenCOP and SCOP) are ratios 
of net sensible cooling capacity delivered to the power consumed, but 
there are several differences in the conditions at which tests are 
performed. Section III.E.1 of this NOPR includes further discussion of 
the differences between these test metrics.
---------------------------------------------------------------------------

    \7\ ASHRAE published ANSI/ASHRAE Standard 127-2020 on November 
30, 2020.
---------------------------------------------------------------------------

    In light of these updates to the relevant industry consensus 
standards, DOE is proposing to amend its test procedure for CRACs by 
incorporating by reference AHRI 1360-202X Draft (in its entirety). DOE 
intends to update its incorporation by reference to the final published 
version of AHRI 1360-202X Draft in the final rule, unless the draft 
version is not finalized before the final rule or if there are 
substantive changes between the draft and published versions, in which 
case DOE may adopt the substance of the AHRI 1360-202X Draft or provide 
additional opportunity for comment on the substantive changes to the 
updated industry consensus standard. Specifically, in the proposed test 
procedure for CRACs at 10 CFR part 431, subpart F, appendix E1, DOE is 
proposing to utilize sections 3.1, 3.4, 3.11, 3.14, 3.16, 3.17, 3.21-
3.23, 5, 6.1-6.3, 6.5, 6.7, and Appendices C-F of AHRI 1360-202X Draft 
for the Federal test procedure for CRACs.\8\
---------------------------------------------------------------------------

    \8\ DOE notes that the most recent version of ASHRAE Standard 
90.1-2019 references AHRI 1360-2017 as the industry consensus test 
method for CRACs.
---------------------------------------------------------------------------

    DOE is also proposing to incorporate by reference several industry 
standards that are subsequently referenced by AHRI 1360-202X Draft. 
First, DOE is proposing to incorporate by reference ANSI/ASHRAE 127-
2020. Specifically, in the proposed test procedure for CRACs at 10 CFR 
part 431, subpart F, appendix E1, DOE is proposing to utilize Figure A-
1, Test duct for measuring air flow and static pressure on downflow 
units, of Appendix A of ANSI/ASHRAE 127-2020, because Figure A-1 of 
Appendix A is referenced in section 5.8 of AHRI 1360-202X Draft. 
Second, DOE is proposing to incorporate by reference ANSI/ASHRAE 37-
2009 for 10 CFR part 431, subpart F, appendix E1, because section 5, 
Appendix D, and Appendix E of AHRI 1360-202X Draft reference methods of 
test in ANSI/ASHRAE 37-2009. More specifically, DOE is proposing to 
utilize all sections of ANSI/ASHRAE 37-2009, except sections 1, 2, and 
4. (Any issues discussed in the July 2017 ASHRAE TP RFI that pertain to 
provisions in ANSI/ASHRAE 37-2009 are addressed in section III.F.4 of 
this NOPR.)

D. Definitions

1. CRAC Definition
    As discussed, DOE currently defines a CRAC as a basic model of 
commercial package air-conditioning and heating equipment (packaged or 
split) that is: Used in computer rooms, data processing rooms, or other 
information technology cooling applications; rated for SCOP and tested 
in accordance with 10 CFR 431.96, and is not a covered consumer product 
under 42 U.S.C. 6291(1)-(2) and 42 U.S.C. 6292. 10 CFR 431.92. A 
computer room air conditioner may be provided with, or have as 
available options, an integrated humidifier, temperature and/or 
humidity control of the supplied air, and reheating function. Id. In 
defining a CRAC, DOE was unable to identify physical characteristics 
that consistently

[[Page 6953]]

distinguish CRACs from other categories of commercial package air 
conditioning and heating equipment that provide comfort-cooling. See 77 
FR 16769, 16772-16774 (March 22, 2012); 77 FR 28928, 28947-28948 (May 
16, 2012).
    In an effort to better distinguish CRACs from other categories of 
commercial package air conditioning and heating equipment that provide 
comfort cooling, DOE is again considering means to consistently 
differentiate this equipment. To this end, DOE has considered as 
potential distinguishing factors use of a minimum sensible heat ratio 
(SHR) and the nominal airflow rate per ton of cooling capacity, as 
discussed further in this section. SHR is the ratio of sensible cooling 
capacity to the total cooling capacity. The total cooling capacity 
includes both sensible cooling capacity and latent cooling capacity.\9\
---------------------------------------------------------------------------

    \9\ Cooling load is composed of both sensible and latent 
portions. The sensible load is the energy required to reduce the 
temperature of the incoming air, without any phase change (i.e., 
cooling). The latent load is the energy required to change the 
moisture in the air from water vapor into a liquid phase as it 
condenses on the cooling coil (i.e., dehumidification).
---------------------------------------------------------------------------

    As part of the July 2017 ASHRAE TP RFI, DOE requested comment on 
the extent to which models of commercial package air conditioners are 
marketed and/or installed for use in both comfort cooling and computer 
room cooling applications. 82 FR 34427, 34430 (July 25, 2017). DOE also 
requested comment on whether there are models rated for Energy 
Efficiency Ratio (EER) or Seasonal Energy Efficiency Ratio (SEER), and 
not SCOP, that are used for computer room cooling. Id. DOE sought 
comment and data on whether a specific SHR value or any other design 
differences or performance features would effectively and consistently 
distinguish CRACs from other categories of commercial package air 
conditioners. Id.
    In response to the July 2017 ASHRAE TP RFI, AHRI commented that 
some large unitary equipment, mini-split units, single packaged 
vertical units, and large direct and indirect evaporative coolers are 
used in data center applications. AHRI also noted that many of these 
products are custom-built for the application and are not necessarily 
designed for comfort cooling. The commenter added that in many 
instances, the consulting engineer and/or the end user determines the 
type of equipment used, regardless of how it is marketed. Additionally, 
AHRI stated that CRACs are uniquely designed to operate year-round only 
in cooling mode, and their efficiency rating should be stated as 
NSenCOP. (AHRI, No. 11 at pp. 1-2). DOE did not receive specific 
comments on whether there are models rated for EER or SEER, and not 
SCOP or NSenCOP, that are used for computer room cooling.
    With regard to whether SHR could be used to effectively and 
consistently distinguish CRACs from other classes of commercial package 
air conditioners, AHRI commented that SHR is dependent on the rating 
conditions used for testing, coil design, and airflow rate of the unit. 
AHRI stated that SHRs for CRACs typically fall within a range of around 
0.90-1.0, depending on which of the indoor air rating conditions 
specified for CRACs in AHRI 1360-2016 are used; whereas typical comfort 
cooling commercial units have an SHR of around 0.60 at the indoor air 
rating conditions specified for commercial unitary air conditioners 
(CUACs) in AHRI 340/360-2015 (which differ from CRAC rating 
conditions). AHRI added that CRACs obtain a higher SHR than CUACs by 
having a higher airflow rate per ton of cooling capacity,\10\ and, 
thus, a larger fan motor. (AHRI, No. 11 at p. 2)
---------------------------------------------------------------------------

    \10\ One ton of cooling capacity equals 12,000 Btu/h.
---------------------------------------------------------------------------

    As part of preparing this NOPR, DOE conducted a preliminary review 
of performance data to explore the use of SHR to distinguish between 
CUACs and CRACs. DOE reviewed data from CUAC product literature \11\ 
and DOE's Compliance Certification Database for CRACs,\12\ which 
indicates that if CUACs were tested at the indoor air conditions 
specified in DOE's current test procedure for CRACs, there would be 
significant overlap in the ranges of SHR for CUAC models and CRAC 
models. Specifically, more than half of CRAC models certified to DOE 
would have an SHR that is also achieved by certain CUAC models. 
Additionally, DOE's analysis of rated cooling capacity and airflow rate 
data from DOE's Compliance Certification Database and the AHRI 
Directory of Certified Product Performance \13\ revealed a substantial 
overlap in nominal airflow rate per ton of cooling capacity between 
CRACs and CUACs currently on the market. Therefore, DOE has tentatively 
concluded that neither SHR nor nominal airflow rate per ton of cooling 
capacity would provide a clear distinction between CRACs and CUACs.
---------------------------------------------------------------------------

    \11\ Specifically, CUAC technical literature provided 
performance tables that show total cooling capacity and sensible 
cooling capacity at various indoor air conditions for each model.
    \12\ DOE's Compliance Certification Database does not contain 
sensible cooling capacity ratings for certified CUACs. (Available 
at: www.regulations.doe.gov/ccms).
    \13\ The AHRI Directory of Certified Product Performance is 
available at www.ahridirectory.org.
---------------------------------------------------------------------------

    Because DOE was unable to identify physical characteristics that 
could reliably be used to distinguish between CRACs and other equipment 
types, DOE is not proposing to define CRACs based on physical 
construction and/or component characteristics. Rather, DOE is proposing 
to amend the definition of CRAC to include how it is marketed for use 
by the manufacturer. Specifically, DOE is proposing first to replace 
the phrase ``used in computer rooms, data processing rooms, or other 
information technology cooling applications'' with ``marketed for use 
in computer rooms, data processing rooms, or other information 
technology cooling applications.'' DOE's proposed definition for CRACs 
is consistent with the definition in the latest draft industry 
standard, AHRI 1360-202X Draft, which also defines CRACs based on 
marketing.\14\
---------------------------------------------------------------------------

    \14\ Section 3.5 of AHRI 1360-202X Draft defines ``computer room 
air conditioner'' as a subset of ``computer and data processing room 
air conditioner.'' Section 3.4 of AHRI 1360-202X Draft defines 
``computer and data processing room air conditioner,'' as an air 
conditioning unit specifically marketed for cooling data centers and 
information technology equipment.
---------------------------------------------------------------------------

    DOE also proposes to remove the current wording ``. . . rated for 
sensible coefficient of performance (SCOP) and tested in accordance 
with 10 CFR 431.96'' to ensure that a unit that otherwise meets the 
definition of a CRAC would be covered as a CRAC regardless of how the 
manufacturer has tested and rated the model. DOE also proposes to 
remove the unnecessary current wording ``. . . a basic model of'' to 
avoid confusion as to whether the equipment constitutes a basic model 
(i.e., DOE specifies different basic model definitions for each 
equipment category at 10 CFR 431.92) before the determination is made 
whether the equipment meets the CRAC definition.
    DOE proposes to maintain the existing requirement that a CRAC is 
not a covered consumer product under 42 U.S.C. 6291(1)-(2) and 42 
U.S.C. 6292. DOE is also proposing to maintain the existing distinction 
that a CRAC may be provided with, or have as available options, an 
integrated humidifier, temperature, and/or humidity control of the 
supplied air, and reheating function.
    In summary, DOE is proposing in 10 CFR 431.92 to define Computer 
Room Air Conditioner as ``commercial package air conditioning and 
heating equipment (packaged or split) that is: marketed for use in 
computer rooms, data processing rooms, or other information technology 
cooling applications; and not a covered

[[Page 6954]]

consumer product under 42 U.S.C. 6291(1)-(2) and 42 U.S.C. 6292. A 
computer room air conditioner may be provided with, or have as 
available options, an integrated humidifier, temperature, and/or 
humidity control of the supplied air, and reheating function. Computer 
room air conditioners include, but are not limited to, the following 
configurations as defined in 10 CFR 431.92 down-flow, horizontal-flow, 
up-flow ducted, up-flow non-ducted, ceiling-mounted ducted, ceiling 
mounted non-ducted, roof-mounted, and wall-mounted.'' DOE is also 
proposing definitions for the configuration terms used in this proposed 
definition, as discussed further in the following section of this 
document. Further, regarding the ``marketed for'' criterion in the 
proposed definition, DOE proposes in 10 CFR 431.92 that DOE would 
consider any publicly-available document published by the manufacturer 
(e.g., product literature, catalogs, and packaging labels) to determine 
the application for which equipment is marketed.
    DOE recognizes that there may be units on the market that would be 
covered by DOE regulations for multiple equipment categories. As 
discussed in a previous notice addressing CRACs, such units would have 
to be tested and rated according to the requirements for each 
applicable equipment class of standards (e.g., CRAC and CUAC). See 77 
FR 16769, 16773 (March 22, 2012).
    Issue 1: DOE requests comment on the proposed definition for 
``computer room air conditioner'' that distinguishes between CRACs and 
other categories of air conditioning equipment, based on the marketing 
of the equipment.
2. CRAC Configuration Definitions
    CRACs can be installed in a variety of different configurations, 
which vary by installation location, direction of airflow over the 
evaporator coil (e.g., up, down, or horizontal), and by return and 
discharge air connections (e.g., raised floor plenum, ducted, free 
air). AHRI 1360-202X Draft includes the concept of ``standard 
configurations'' to standardize the configuration and rating conditions 
(e.g., ESP, return air temperature) for testing CRACs to generate 
standard ratings. Appendix C of AHRI 1360-202X Draft specifies eight 
different standard configurations: (1) Ceiling-mounted ducted (with 
ducted discharge and ducted return); (2) ceiling-mounted non-ducted 
(with free air discharge and free air return); (3) down-flow (with 
raised floor plenum discharge and free air return); (4) horizontal-flow 
(with free air discharge and free air return); (5) up-flow ducted (with 
ducted discharge and free air return); (6) up-flow non-ducted (with 
free air discharge and free air return); (7) wall-mounted (with free 
air discharge and free air return); and (8) roof-mounted ducted (with 
ducted discharge and ducted return).
    Section C1 in Appendix C of AHRI 1360-202X Draft specifies that all 
units within the scope of the test standard must be categorized and 
rated as one of the eight standard configurations, and it specifies 
test conditions that vary between standard configurations. Standard 
configurations are further discussed in section III.F.1 of this NOPR.
    Section 3.24 of AHRI 1360-202X Draft includes definitions for the 
following configurations of standard models: ``downflow unit,'' 
``horizontal-flow unit,'' ``upflow unit-ducted,'' ``upflow unit-
nonducted,'' ``ceiling mounted unit-ducted,'' ``ceiling-mounted unit-
nonducted,'' ``wall-mounted,'' and ``roof-mounted ducted.'' 
Additionally, section 3.9.2 of AHRI 1360-202X Draft includes 
definitions for the following airflow configurations of floor-mounted 
CRACs: ``downflow,'' ``horizontal-flow,'' and ``upflow.''
    To provide additional instruction as to which configuration (and, 
thus, which testing requirements and standards, as applicable) should 
be used for testing, DOE is proposing to add several definitions for 
CRACs consistent with the previously mentioned definitions in AHRI 
1360-202X Draft. Specifically, DOE is proposing definitions for the 
following terms at 10 CFR 431.92: Floor-mounted, ceiling-mounted, wall-
mounted, roof-mounted, up-flow, down-flow, horizontal flow, up-flow 
ducted, up-flow non-ducted, ceiling-mounted ducted, ceiling-mounted 
non-ducted, and fluid economizer. Because several of these proposed 
definitions reference other defined terms (e.g., the ``up-flow non-
ducted'' definition references the separately defined ``up-flow'' 
term), DOE is proposing to italicize the defined terms within CRAC-
related definitions at 10 CFR 431.92 to signal to the reader which 
terms are separately defined. Each of these proposed definitions is 
discussed in further detail in the following sections.
    Issue 2: DOE requests comment on its proposal to define the 
following terms, consistent with AHRI 1360-202X Draft: Floor-mounted, 
ceiling-mounted, wall-mounted, roof-mounted, up-flow, down-flow, 
horizontal flow, up-flow ducted, up-flow non-ducted, ceiling-mounted 
ducted, ceiling-mounted non-ducted, and fluid economizer.
a. Mounting Configurations
    A variety of mounting configurations are available for CRACs. For 
CRACs for which the unit housing the evaporator coil is designed to be 
installed indoors (including both single package and split system 
CRACs), mounting configurations include floor-mounted, wall-mounted, 
and ceiling-mounted. Floor-mounted units are designed as free-standing 
units that are installed directly on a solid floor, a raised floor, or 
a floor-stand; wall-mounted units are designed for installation on or 
through a wall; and ceiling-mounted units are designed to be installed 
on or through a ceiling. Other CRACs are designed to be installed 
outdoors on a building rooftop or on a slab at ground level.
    DOE proposes to adopt the definitions in AHRI 1360-202X Draft for 
ceiling mounted units, floor mounted units, roof mounted units, and 
wall mounted units, with one minor modification. Specifically, DOE 
proposes to replace the phrase ``Indoor Unit'' with ``unit housing the 
evaporator coil'' to avoid the need for defining another term (i.e., 
``Indoor Unit'') in the Federal regulations. Section 3.11 of AHRI 1360-
202X Draft specifies that ``Indoor Unit'' for a split system is the 
unit that removes heat from the indoor air stream. DOE has tentatively 
concluded that ``the unit removing heat from the indoor air stream'' 
and ``the unit housing the evaporator coil'' are substantively 
identical for CRACs--the only distinction would be for computer room 
air handlers, which remove heat from the airstream via a chilled water 
coil and thus do not have an evaporator coil. Because DOE does not 
regulate air handlers, DOE is proposing to use the phrase ``housing the 
evaporator coil'' to describe more narrowly the indoor unit of a CRAC 
split system.
    DOE proposes the following definitions for CRAC mounting 
configurations at 10 CFR 431.92. These definitions are referenced by 
other proposed CRAC configuration definitions described in the sections 
that follow.
    Floor-mounted means a configuration of computer room air 
conditioner for which the unit housing the evaporator coil is 
configured for indoor installation on a solid floor, raised floor, or 
floor-stand. Floor-mounted computer room air conditioners are one of 
the following three configurations: Down-flow, horizontal-flow, or up-
flow.
    Ceiling-mounted means a configuration of computer room air 
conditioner for which the unit housing the evaporator coil is 
configured for

[[Page 6955]]

indoor installation on or through a ceiling.
    Wall-mounted means a configuration of computer room air conditioner 
for which the unit housing the evaporator coil is configured for 
installation on or through a wall.
    Roof-mounted means a configuration of computer room air conditioner 
that is not wall-mounted, and for which the unit housing the evaporator 
coil is configured for outdoor installation.
b. Flow Direction
    DOE is proposing to adopt the definitions in AHRI 1360-202X Draft 
for ``up-flow,'' ``down-flow,'' and ``horizontal-flow'' CRAC 
configurations, with minor additions to: (1) Clarify that these 
provisions apply only to floor-mounted CRACs because other types of 
CRACs (i.e., ceiling-mounted, roof-mounted, and wall-mounted CRACs) 
each only have one possible airflow direction through the unit; and (2) 
replace the term ``cooling coil'' with ``evaporator coil'' to more 
specifically reference the relevant coil, because a fluid economizer 
coil could also be considered a ``cooling coil.'' The limitation of 
scope of these definitions to floor-mounted CRACs is consistent with 
Section 3.9.2 of AHRI 1360-202X Draft, which includes these as sub-
definitions under the definition for ``floor-mounted unit.''
    DOE proposes the following definitions regarding the airflow 
direction for CRACs at 10 CFR 431.92:
    Up-flow means a configuration of floor-mounted computer room air 
conditioner in which return air enters below the bottom of the 
evaporator coil and discharge air leaves above the top of the 
evaporator coil.
    Down-flow means a configuration of floor-mounted computer room air 
conditioner in which return air enters above the top of the evaporator 
coil and discharge air leaves below the bottom of the evaporator coil.
    Horizontal-flow means a configuration of floor-mounted computer 
room air conditioner that is neither a down-flow nor an up-flow unit.
c. Ducted and Non-Ducted Definitions
    The definitions in Section 3.19 of AHRI 1360-2017 distinguish 
between ducted and non-ducted up-flow units based on the presence of 
factory-installed air discharge grills or factory-installed supply air 
plenums. Certain floor-mounted units, ceiling-mounted units, and wall-
mounted units can be installed either with or without a duct, depending 
on the needs of the installation of the unit in the field. In the July 
2017 ASHRAE TP RFI, DOE noted that AHRI 1360-2016 does not provide 
express instructions on which up-flow standard model requirements would 
be used for testing equipment that can be installed either with or 
without a duct. DOE requested comment on which equipment 
characteristics can be used to determine whether up-flow CRACs should 
be tested as ducted or non-ducted models. DOE also requested comment on 
whether up-flow units can be sold for both up-flow ducted and up-flow 
non-ducted applications, and whether such models are currently tested 
using both ducted and non-ducted rating conditions. 82 FR 34427, 34432-
34433 (July 25, 2017).
    In addition, as discussed in the July 2017 ASHRAE TP RFI, DOE's 
review of CRAC installation manuals suggests that some up-flow units 
are installed with a plenum that directs the vertical airflow exiting 
the top of the unit to a horizontal direction (e.g., either toward the 
front or rear of the unit). DOE requested comment on the percentage of 
up-flow CRAC installations in which a plenum is attached, and whether 
non-ducted units are tested with or without this plenum. 82 FR 34427, 
34434 (July 25, 2017).
    In response to the July 2017 ASHRAE TP RFI, AHRI stated that up-
flow units that can be installed with ducting or with an air discharge 
plenum would use more energy in the ducted configuration and should, 
therefore, be tested and rated as ducted. The commenter argued that 
testing and rating a unit as both ducted and non-ducted would add 
unnecessary testing burden on manufacturers. AHRI further stated that 
only units with factory-integrated discharge grills should be tested as 
non-ducted. (AHRI, No. 11 at p. 4)
    AHRI also commented that if an up-flow unit is not shipped with an 
integral factory grill, it should be considered an up-flow ducted unit 
and that such units are currently tested with a duct regardless of 
whether they have a plenum installed or are ducted in the field. AHRI 
further added that approximately 33 percent of up-flow ducted units use 
a manufacturer's plenum to redirect the air from the upward direction, 
while the remaining 67 percent may be installed with ducting in the 
field. (AHRI, No. 11 at p. 6).
    This issue was addressed with changes in AHRI 1360-202X Draft. The 
definitions in Sections 3.3.1 and 3.9.1 of AHRI 1360-202X Draft 
distinguish between ducted and non-ducted ceiling mounted and up-flow 
floor mounted units based on the marketing of the unit. Specifically, a 
unit that is marketed only for use without discharge ducting is 
classified as a non-ducted unit and a unit that is marketed for use 
with discharge ducting (but may also be marketed for use without 
discharge ducting) is classified as a ducted unit.
    DOE is proposing to include definitions consistent with AHRI 1360-
202X Draft that differentiate between ducted and non-ducted units, with 
only minor modifications. The modifications are to simplify the 
definitions and remove unnecessary phrases. For example, the 
definitions for ``ducted discharge'' and ``free air discharge'' in 
Section 3.9.1 of AHRI 1360-202X Draft apply to both up-flow and down-
flow units and specify that the terms exclude units that are ``raised 
floor plenum discharge.'' The explicit exclusion of units that are 
``raised floor plenum discharge'' applies only to down-flow units 
because an up-flow unit discharges air near the top of the unit and 
would, therefore, never discharge air into a raised floor plenum. 
Consequently, this exclusion is unnecessary in DOE's proposed 
definitions for ``up-flow ducted'' and ``up-flow non-ducted.''
    In summary, DOE proposes the following definitions at 10 CFR 431.92 
that differentiate between ducted and non-ducted units for up-flow and 
ceiling-mounted CRACs:
    Up-flow ducted means a configuration of an up-flow computer room 
air conditioner that is configured for use with discharge ducting (even 
if the unit is also configurable for use without discharge ducting).
    Up-flow non-ducted means a configuration of an up-flow computer 
room air conditioner that is configured only for use without discharge 
ducting.
    Ceiling-mounted ducted means a configuration of ceiling-mounted 
computer room air conditioner that is configured for use with discharge 
ducting (even if the unit is also configurable for use without 
discharge ducting).
    Ceiling-mounted non-ducted means a configuration of ceiling-mounted 
computer room air conditioner that is configured only for use without 
discharge ducting.
d. Fluid Economizer
    Section 3.10 of AHRI 1360-202X Draft specifies a definition for 
``fluid economizer,'' which it defines (in part) as an option available 
to CRACs or computer room air handler systems. DOE is proposing to 
adopt the following definition for ``fluid economizer'' at 10 CFR 
431.92, which is consistent with the definition used by AHRI 1360-202X 
Draft, except that it does not include computer room air handlers 
because

[[Page 6956]]

these air handlers (i.e., chilled water coils) do not meet DOE's 
definition for ``commercial package air conditioning and heating 
equipment'' at 10 CFR 431.92.
    Fluid Economizer means an option available with a computer room air 
conditioner in which a fluid (other than air), cooled externally from 
the unit, provides cooling of the indoor air to reduce or eliminate 
unit compressor operation when outdoor temperature is low. The fluid 
may include, but is not limited to, chilled water, water/glycol 
solution, or refrigerant. An external fluid cooler, such as but not 
limited to a dry cooler, cooling tower, or condenser, is utilized for 
heat rejection. This component is sometimes referred to as a free 
cooling coil, econ-o-coil, or economizer.

E. Metric

1. NSenCOP
    DOE's current efficiency metric for CRACs is SCOP, which is a ratio 
of cooling capacity delivered to the power consumed. For most 
categories of air conditioners and heat pumps other than CRACs, the 
efficiency metrics are calculated based on total cooling capacity 
(which includes both sensible cooling and latent cooling). However, 
unlike the conditioned spaces in most commercial buildings, computer 
rooms and data centers typically have limited human occupancy and 
minimal dehumidification requirements, and thus, primarily require only 
sensible cooling. Therefore, SCOP is calculated based on sensible 
cooling capacity rather than total cooling capacity.
    As discussed, ASHRAE Standard 90.1-2016 amended the efficiency 
metric for CRACs from SCOP (measured per ANSI/ASHRAE 127-2007) to 
NSenCOP (measured per AHRI 1360-2016). ASHRAE Standard 90.1-2019 
subsequently retained NSenCOP as the test metric, but it updated the 
test reference to AHRI 1360-2017 (which specifies NSenCOP as the test 
metric and has the same test conditions as AHRI 1360-2016). AHRI 1360-
202X Draft also specifies NSenCOP as the test metric and maintains the 
rating conditions found in AHRI 1360-2017, while also adding rating 
conditions for roof-mounted and wall-mounted units. Like SCOP, NSenCOP 
is a ratio of sensible cooling capacity to the power consumed. However, 
the test procedure to determine NSenCOP differs from that to determine 
SCOP in four key aspects: (1) For several CRAC configurations (e.g., 
down-flow, up-flow ducted), different indoor entering air temperatures 
are specified; (2) for water-cooled CRACs, different entering water 
temperatures are specified; (3) for up-flow ducted configurations, 
different indoor air external static pressure (ESP) requirements are 
specified; and (4) for water-cooled and glycol-cooled CRACs, NSenCOP 
accounts for energy consumed by fans and pumps that would be installed 
in the outdoor heat rejection loop, which is not accounted for in SCOP. 
Because of these key differences, the SCOP and NSenCOP metrics are not 
equivalent and would result in different ratings. As noted, the current 
energy conservation standards for CRACs are in terms of SCOP, and 
testing according to the DOE test procedure to determine SCOP would 
continue to be required until such time as the energy conservation 
standards are amended to rely on NSenCOP, should DOE adopt such changes 
to the standards. Each of the differences between SCOP and NSenCOP is 
discussed in further detail in the following paragraphs.
a. Indoor Entering Air Temperatures
    ANSI/ASHRAE 127-2007 (for SCOP) specifies using a return air 
temperature (i,e., indoor entering air temperature) of 75 [deg]F for 
all CRAC configurations. However, in the field, the location of the 
return air inlet can impact the return air temperature. For example, 
CRAC configurations in which the return air inlet is located close to 
the heat source (i.e., horizontal flow units, which are typically 
located adjacent to server racks) would have higher entering air 
temperatures than configurations with return air inlets located further 
from the heat source. In general, increasing the indoor entering air 
temperature (assuming all other parameters remain unchanged) increases 
the measured sensible cooling capacity and sensible cooling efficiency. 
In contrast, AHRI 1360-202X Draft (for NSenCOP) specifies different 
return air temperatures for different configurations. Specifically, 
AHRI 1360-202X Draft specifies indoor entering air dry-bulb 
temperatures for each CRAC configuration, as follows: (1) 85 [deg]F for 
up-flow ducted units, down-flow units, and roof-mounted units; (2) 95 
[deg]F for horizontal-flow units; and (3) 75 [deg]F for up-flow non-
ducted units, ceiling-mounted ducted units, ceiling-mounted non-ducted 
units, and wall-mounted units.
b. Entering Water Temperatures
    For water-cooled CRACs, ANSI/ASHRAE 127-2007 (for SCOP) specifies 
an entering water temperature of 86 [deg]F, whereas AHRI 1360-202X 
Draft (for NSenCOP) specifies an entering water temperature of 83 
[deg]F. In general, decreasing the entering water temperature increases 
the measured efficiency.
c. Indoor Air ESP Requirements
    For up-flow ducted CRACs, both ANSI/ASHRAE 127-2007 and AHRI 1360-
202X Draft specify indoor air ESP requirements that vary with net 
sensible cooling capacity. AHRI 1360-202X Draft specifies lower ESP 
requirements than ANSI/ASHRAE 127-2007 across all capacity ranges, and 
the capacity bins (i.e., capacity ranges over which each ESP 
requirement applies) are different between the two test standards. 
Testing with a lower ESP typically decreases the indoor fan power input 
without a corresponding decrease in cooling capacity, thus increasing 
the measured efficiency. Additionally, the reduction in fan heat 
entering the indoor air stream that results from lower fan power also 
slightly increases net sensible cooling capacity (NSCC). These indoor 
air ESP requirements are further discussed in section III.F.6 of this 
NOPR.
d. Energy Consumption of Heat Rejection Components
    For air-cooled CRACs, all energy consumption associated with heat 
rejection (i.e., transfer of heat that is captured from the conditioned 
space to outdoor air) is directly captured under both ANSI/ASHRAE 127-
2007 and AHRI 1360-202X Draft because the units include the condenser 
fan(s) as integral components. However, for water-cooled CRACs and 
glycol-cooled CRACs, the energy consumption associated with heat 
rejection components (i.e., liquid pump and cooling tower/dry cooler 
fan(s)) is not captured in either test method, because the heat 
rejection components for these CRACs are not integral components. 
However, Section 6.3.1 of AHRI 1360-202X Draft requires that an 
allowance for the power input of these components be added to the total 
power input used to determine NSenCOP. Specifically, Section 6.3.1.3 of 
AHRI 1360-202X Draft requires that an allowance be added for cooling 
tower fan(s) and water pump power input of water-cooled CRACs equal to 
5 percent of the measured unit net sensible cooling capacity, and 
Section 6.3.1.4 of AHRI 1360-202X Draft requires that an allowance be 
added for dry cooler fan(s) and glycol pump power input of glycol-
cooled CRACs equal to 7.5 percent of the measured unit net sensible 
cooling capacity. ANSI/ASHRAE 127-2007 does not include any such 
adjustments to account for the power consumption of

[[Page 6957]]

these heat rejection components in the power input used to calculate 
SCOP. The addition of these allowances does not change how the test is 
conducted, but the resulting changes to the efficiency ratings would 
more fully capture field energy consumption and allow for more 
representative comparison of water-cooled and glycol-cooled CRACs with 
air-cooled CRACs.
e. Conclusion
    In response to the changes to the efficiency metric and referenced 
industry test standard for CRACs in ASHRAE Standard 90.1-2019 and the 
draft update to the referenced industry test standard (AHRI 1360-202X 
Draft), DOE proposes to update its efficiency metric for CRACs to 
NSenCOP. As discussed in section I.A of this NOPR, this approach is 
consistent with the general statutory scheme in EPCA to adopt an 
amended test procedure that is consistent with the updated relevant 
industry test procedure referenced in ASHRAE Standard 90.1. As part of 
any future analysis of energy conservation standards for CRACs, DOE 
would expect to conduct a crosswalk analysis to translate the current 
Federal standards in terms of SCOP to equivalent levels in terms of 
NSenCOP to evaluate potential amendments to the energy conservation 
standards, as appropriate.
    Updating the industry consensus standard referenced in the DOE test 
procedure for CRACs to the draft updated version of the industry 
standard (i.e., AHRI 1360-202X Draft), would require DOE to change the 
metric for CRACs from SCOP to NSenCOP. As noted, the energy 
conservation standards for CRACs are in terms of SCOP, and testing 
according to the DOE test procedure to determine SCOP would continue to 
be required until such time as the energy conservation standards are 
amended to rely on NSenCOP, should DOE adopt such changes to the 
standards. Further, DOE is unaware of any data or information 
indicating that NSenCOP test conditions are not representative of an 
average CRAC use cycle, but the Department requests comments, data, and 
information as to this understanding.
    Issue 3: DOE requests comment on its proposal to adopt the NSenCOP 
metric for CRACs as part of the proposed test procedure in appendix E1, 
which would be used only if DOE were to prescribe energy conservation 
standards denominated in terms of NSenCOP in a future rulemaking. 
Additionally, DOE seeks feedback on whether the rating conditions in 
AHRI 1360-202X Draft are appropriately representative of field 
applications.
2. Integrated Efficiency Metric
    In contrast to an efficiency metric that measures performance at 
only one test point, an annualized, or ``integrated'' efficiency metric 
measures performance at multiple test points (i.e., tests with 
different outdoor test conditions) that are intended to reflect 
seasonal variation in outdoor ambient temperatures that would be 
experienced by the equipment installed in the field. ANSI/ASHRAE 127-
2007 includes an integrated efficiency metric (i.e., adjusted sensible 
coefficient of performance (ASCOP)--a metric for which DOE does not 
require manufacturers to report ratings), which is calculated based on 
the SCOP determined at four different rating conditions (A, B, C, and 
D) that represent different ambient conditions, with weightings for the 
SCOP at each rating condition based on the climate at a specific 
location. All subsequent versions of CRAC industry standards (i.e, 2012 
and 2020 versions of ASHRAE Standard 127; 2013, 2016, 2017, and draft 
versions of AHRI Standard 1360) include a different integrated 
efficiency metric--integrated net sensible coefficient of performance 
(iNSenCOP). The iNSenCOP metric is similar to ASCOP in that it 
comprises a weighted average of NSenCOP values for four test points at 
varying outdoor conditions.\15\ Additionally, iNSenCOP includes the 
weightings for each test point, whereas for ASCOP, ANSI/ASHRAE 127-2007 
does not provide the weightings for each test point, and instead 
specifies obtaining data from a weather bureau or other reputable 
source to develop weightings for each ASCOP test point.
---------------------------------------------------------------------------

    \15\ The rating conditions A, B, C, and D specified for ASCOP in 
ANSI/ASHRAE 127-2007 and for iNSenCOP in subsequent CRAC industry 
test standards (i.e., 2012 and 2020 versions of ASHRAE Standard 127; 
2013, 2016, 2017, and 202X Draft versions of AHRI Standard 1360) for 
air-cooled units correspond to outdoor entering air temperatures of 
95.0 [deg]F, 80.0 [deg]F, 65.0 [deg]F, and 40.0 [deg]F, 
respectively.
---------------------------------------------------------------------------

    The ASCOP and iNSenCOP test methods in the CRAC industry consensus 
test standards require units to maintain a constant sensible cooling 
capacity at lower ambient temperatures. However, as the ambient 
temperature decreases, the maximum cooling capacity of a CRAC will 
inherently increase as the condensing temperature decreases. The CRAC 
industry consensus test standards do not provide direction regarding 
how the unit should be controlled to deliver the same amount of 
sensible cooling as its capacity increases for the lower-ambient tests. 
AHRI 1360-2017 acknowledges that it may be difficult to maintain test 
conditions within tolerance while operating at the full-load cooling 
load at reduced ambient temperatures, but does not provide direction 
regarding how the unit should be controlled. In the July 2017 ASHRAE TP 
RFI, DOE requested comment on whether it should consider adopting an 
integrated efficiency metric (e.g., iNSenCOP) and, if so, how the 
requirement to maintain a constant sensible cooling capacity associated 
with the iNSenCOP test procedure should be implemented during testing. 
82 FR 34427, 34432 (July 25, 2017).
    In response, AHRI stated that an annualized energy efficiency 
metric such as iNSenCOP would best represent the energy efficiency of 
CRACs. However, AHRI stated that testing limitations currently prevent 
the development of an iNSenCOP metric. AHRI further commented that it 
had begun work to assess the feasibility of an annualized metric that 
can be verified by testing, but that this research would not be 
completed in time for inclusion in the 2017 version of AHRI 1360. 
Consequently, AHRI recommended that this issue be addressed at a later 
date. (AHRI, No. 11 at p. 3)
    Consistent with AHRI's comment, section D1 of AHRI 136-2017 (and 
section G1 of the subsequently published AHRI 1360-202X Draft) states 
that ``a long-term goal is for iNSenCOP to replace NSenCOP after a more 
readily testable means has been standardized.'' DOE is not aware of any 
test data that verifies the validity of the iNSenCOP metric. Further, 
minimum efficiency levels in terms of iNSenCOP have not been adopted in 
ASHRAE Standard 90.1. The Department acknowledges the potential benefit 
regarding representativeness that would be provided with an annualized 
metric for CRACs. However, given the apparent need for further 
validation and the lack of test data, DOE is not proposing to use the 
iNSenCOP metric at this time.
3. Part-Load Operation and Air Circulation Mode
    As discussed in the July 2017 ASHRAE TP RFI, CRACs typically 
operate at part-load (i.e., less than designed full cooling capacity) 
in the field. 82 FR 34427, 34432 (July 25, 2017). Reasons for this may 
include, but are not limited to, redundancy in installed units to 
prevent server shutdown if a CRAC unit stops working, and server room 
designers building in extra cooling capacity to accommodate additional 
server racks in the future. While the current DOE test procedure 
measures performance at full-load, DOE has estimated that CRACs operate 
on average at a sensible load of 65 percent

[[Page 6958]]

of the full-load sensible capacity in the analysis for a final rule for 
standards and test procedures for certain commercial heating, air 
conditioning, and water heating equipment (including CRACs) published 
on May 16, 2012 (77 FR 28928). (Technical Support Document, EERE-2011-
BT-STD-0029-0021, pp. 4-15, 4-16) In the July 2017 ASHRAE TP RFI, DOE 
requested information on the range of typical field load levels for 
CRACs at conditions close to or at the maximum ambient outdoor air 
temperature conditions specified in the DOE test procedure for various 
unit capacities. DOE also sought input on typical rules of thumb for 
oversizing and whether the issue of oversizing of this equipment should 
be addressed in the efficiency metric. 82 FR 34427, 34432 (July 25, 
2017).
    Additionally, as discussed in the July 2017 ASHRAE TP RFI, many 
CRACs operate in air circulation mode. 82 FR 34427, 34432 (July 25, 
2017). In this mode, the direct expansion refrigerant system is shut 
down, and only the indoor fans and controls are operating. In a 
computer room with redundant CRAC units installed, one or more of the 
redundant units can be operated in air circulation mode to provide 
increased air movement. In the July 2017 ASHRAE TP RFI, DOE requested 
comment on the conditions under which CRACs typically operate in air 
circulation mode (i.e., operating the indoor fan without actively 
cooling) in the field, whether each CRAC switches automatically between 
standard cooling mode and air circulation mode, and if so, the time 
percentage that CRACs operate in air circulation mode. DOE also sought 
comment on which fan setting(s) is used for air circulation mode and 
whether DOE should consider this energy use in the CRAC efficiency 
metric. Id.
    The CA IOUs encouraged DOE to adopt an efficiency metric for CRACs 
that includes part-load conditions, stating that a full-load metric is 
highly unrepresentative of operation of CRACs in the field. 
Specifically, the CA IOUs stated that because computer rooms are built 
out in stages, CRACs may be sized for loads that are far greater than 
the loads actually met in practice, and that redundant and oversized 
CRACs are typically installed to ensure the continuous operation of 
these critical facilities. These commenters further stated that CRACs 
typically operate at between 10 percent and 50 percent of full-load 
capacity. Therefore, the CA IOUs recommended that DOE should modify the 
iNSenCOP metric to account for part-load operation in addition to 
variations in ambient conditions, or that DOE should develop a new 
integrated metric that includes part-load test points. (CA IOUs, No. 3 
at pp. 3-4)
    The Joint Advocates urged DOE to adopt an efficiency metric for 
CRACs that incorporates part-load performance, stating that a full-load 
metric is not representative of performance in the field and, 
therefore, does not provide good information to consumers. 
Additionally, the Joint Advocates stated that if CRACs spend a 
significant amount of time in air circulation mode, the energy use for 
that operating mode should be captured in the test procedure. These 
commenters also stated that variable-speed controls for fans and 
compressors can significantly improve performance when operating at 
part-load conditions or in air circulation mode, and that capturing 
these benefits in the test procedure would likely increase adoption of 
these technologies. The Joint Advocates acknowledged that measuring 
power consumption in air circulation mode would require additional 
testing, but suggested that the test burden would be small and that 
testing of air circulation mode could be performed immediately 
following the refrigeration system testing, similar to what is 
specified in the new test procedures for testing dehumidifiers in 
``off-cycle'' mode. (Joint Advocates, No. 9 at pp. 2-3)
    AHRI stated that oversizing of CRACs varies from site to site and 
depends on several factors such as redundancy, control sequencing, and 
the build-out plan. Because of such variations, AHRI stated that it is 
neither practical nor feasible to address oversizing in the efficiency 
metric for CRACs. AHRI did not comment on whether energy use from air 
circulation mode should be reflected in the CRAC efficiency metric, but 
stated that airflow is a major consideration in the design of a data 
center cooling system and that the control of airflow depends on how 
the data center is designed. The trade association stated that 
circulating fan speeds (in the case of variable-speed fans) are 
controlled by aisle temperatures, rack temperatures, static pressure, 
and supply air or return air temperatures; and that the industry has 
gone to great lengths to address airflow design and control issues. 
AHRI further commented that in many cases, the controls can be adjusted 
manually in a matter of seconds to respond to server equipment or load 
changes in the room. (AHRI, No. 11 at p. 4)
    These comments suggest that CRACs are commonly oversized when 
installed in the field, and that this oversizing can significantly 
influence performance. DOE acknowledges that the extent of oversizing 
of CRACs likely varies by application, but DOE tentatively disagrees 
with AHRI's statement that it is neither practical nor feasible to 
account for oversizing in an efficiency metric for CRACs. For example, 
the ESP that indoor fans must overcome from ductwork varies widely by 
installation location, yet all versions of AHRI Standard 1360 specify 
ESP requirements to be used for testing all CRACs. Additionally, DOE 
understands that many CRACs operate in air circulation mode and that 
incorporating air circulation mode in testing might incentivize use of 
more-efficient fan technologies for CRACs that typically operate at 
lower fan speeds in air circulation mode. At this time, however, DOE 
does not have information or data on part-load or air circulation mode 
operation of CRACs to support a proposal to amend the efficiency metric 
to account for performance in these operating modes.

F. Test Method

    This section discusses certain issues related to testing CRACs, 
several of which were identified by DOE in the July 2017 ASHRAE TP RFI 
and subsequently addressed in AHRI 1360-202X Draft. Therefore, in this 
section, comments received regarding such issues are briefly summarized 
and cited but are addressed by referencing the relevant language in 
AHRI 1360-202X Draft.
1. Standard Configurations
    Section 3.18 of AHRI 1360-2016 specifies four floor-mounted 
``standard model'' configurations to standardize rating conditions 
(e.g., ESP, return air temperature) based on the configuration of a 
unit. These four ``standard model'' configurations are: Up-flow ducted, 
up-flow non-ducted, down-flow, and horizontal-flow. Section C1 of 
Appendix C of AHRI 1360-2016 categorizes all units within the scope of 
the test as one of the four floor-mounted ``standard model'' 
configurations, and Table C1 of AHRI 1360-2016 specifies the indoor 
rating conditions for each ``standard model'' configuration. Table C1 
of AHRI 1360-2016 also identifies 13 ``application configurations,'' 
which are optional test configurations and are not specified for use in 
developing efficiency ratings.
    As part of the July 2017 ASHRAE TP RFI, DOE requested confirmation 
that, although floor-mounted CRACs may be sold to be installed in 
multiple configurations, all models are capable of being tested as one 
of the four floor-mounted standard models identified in Table C.1 of 
AHRI 1360-2016. 82 FR 34427, 34433 (July 25, 2017).

[[Page 6959]]

    In response to the July 2017 ASHRAE TP RFI, AHRI stated that all 
floor-mounted models can be configured as one of the four floor-mounted 
standard models specified in AHRI 1360-2016 and tested accordingly. 
AHRI also added that some air discharge unit variations may require 
special test set-ups, but did not elaborate on this issue. (AHRI, No. 
11 at p. 4)
    AHRI 1360-2017 specifies six ``standard model'' configurations and 
includes ceiling-mounted ducted and ceiling-mounted non-ducted 
``standard model'' configurations, in addition to the four floor-
mounted ``standard model'' configurations in AHRI 1360-2016. AHRI 1360-
202X Draft includes a similar concept but designates the configurations 
as ``standard configurations'' rather than ``standard models.'' In 
addition to the six configurations specified as ``standard models'' in 
AHRI 1360-2017, Sections 3.25 and C1 (to Appendix C) of AHRI 1360-202X 
Draft include two additional standard configurations for wall-mounted 
and roof-mounted CRACs. Tables C1 and C2 to Appendix C of AHRI 1360-
202X Draft specify these eight standard configurations, as well as 14 
``application configurations,'' which Section 3.2 of AHRI 1360-202X 
Draft defines as unit configurations other than standard 
configurations. However, Section 3.2 of AHRI 1360-202X Draft states 
that all units within the scope of AHRI Standard 1360 shall be tested 
and rated as standard configurations. Accordingly, for each application 
configuration, Note 2 to Table C1 and Notes 3 through 5 to Table C2 of 
AHRI 1360-202X Draft assign a specific standard configuration to be 
used for rating purposes.
    In light of the provisions in AHRI 1360-202X Draft regarding 
standard configurations for testing CRACs, DOE surmises that the 
approach provided in AHRI 1360-202X Draft represents industry consensus 
regarding the most appropriate and representative configurations for 
testing. To the extent that AHRI had any concerns regarding special 
test set-ups needed for certain unit variations (as set forth in the 
comments in response to the July 2017 ASHRAE TP RFI), DOE presumes that 
AHRI's original position on this issue changed during the course of 
developing the updated industry consensus standard. DOE is proposing to 
adopt the provisions regarding standard configurations to be used for 
testing under AHRI 1360-202X Draft.
2. Ceiling-Mounted CRACs
    The CRAC industry test standard referenced in DOE's current test 
procedure in 10 CFR 431.96, ANSI/ASHRAE 127-2007 (omitting section 
5.11), is not specific as to mounting location (i.e., floor, ceiling, 
wall, roof). However, on October 7, 2015, DOE issued a draft guidance 
document (``October 2015 Draft Guidance'') to clarify that ceiling-
mounted CRACs are covered equipment and are required to be tested under 
the current DOE test procedure for purposes of making representations 
of energy consumption. DOE also noted that a manufacturer may request a 
test procedure waiver for a basic model if it contains design features 
that prevent testing according to the DOE test procedure. (Docket No. 
EERE-2014-BT-GUID-0022, No. 3, pp. 1-2) \16\
---------------------------------------------------------------------------

    \16\ Available at: www.regulations.gov/docket?D=EERE-2014-BT-GUID-0022.
---------------------------------------------------------------------------

    In the July 2017 ASHRAE TP RFI, DOE requested comment on the 
appropriate test procedure for ceiling-mounted CRACs and the test 
burden associated with any such procedure. 82 FR 34427, 34431 (July 25, 
2017). DOE also noted that ANSI/ASHRAE 127-2007 and ANSI/ASHRAE 127-
2012 do not exclude ceiling-mounted CRACs, but that AHRI 1360-2016 (the 
latest version of AHRI 1360 at the time of the July 2017 ASHRAE TP RFI) 
provides test provisions and rating conditions only for floor-mounted 
CRACs. 82 FR 34427, 34430-34431 (July 25, 2017). Further, DOE noted 
that the current DOE test procedure, which incorporates by reference 
ANSI/ASHRAE 127-2007, specifies different test conditions (e.g., 
different ESP) than AHRI 1360-2016, and the Department requested 
comment on whether the test requirements of ANSI/ASHRAE 127-2007 are 
representative of average use cycles for ceiling-mounted CRACs. 82 FR 
34427, 34433-34434 (July 25, 2017). In the July 2017 ASHRAE TP RFI, DOE 
requested information on whether the ESP levels required by ANSI/ASHRAE 
127-2012 (which is referenced by AHRI 1360-2016) are representative of 
field operation for ceiling-mounted CRACs (among other non-floor-
mounted CRAC configurations), and if not, what a representative minimum 
ESP would be. 82 FR 34427, 34434 (July 25, 2017).
    In response, AHRI commented that AHRI 1360 was under revision (at 
the time of the response) and that an updated version would be 
published in 2017 (i.e., AHRI 1360-2017). AHRI stated that the revised 
version would specify ESP requirements for ceiling-mounted CRACs. AHRI 
provided a working draft of AHRI 1360-2017 as part of its comment 
response. (AHRI, No. 11 at p. 6) AHRI also stated that the average use 
cycle for ceiling-mounted CRAC units and other non-floor-mounted CRACs 
would be the same as floor-mounted units. (AHRI, No. 11 at p. 5)
    AHRI 1360-202X Draft includes ceiling-mounted units within the 
scope of the industry consensus test standard and specifies ducting 
configuration (e.g., ducted discharge and ducted return) requirements 
in section 3.3.1, indoor entering air temperature in Table 3, and ESP 
requirements that apply specifically to ceiling-mounted units in Table 
5 of that standard. These configurations and conditions align with 
those included for ceiling-mounted CRACs in the working draft of AHRI 
1360-2017 provided as part of AHRI's comment response. Accordingly, DOE 
surmises that the approach provided in AHRI 1360-202X Draft represents 
industry consensus regarding the most appropriate and representative 
method for testing ceiling-mounted CRACs. Further, from DOE's initial 
review of public product literature for ceiling-mounted CRACs, DOE has 
tentatively determined that the ESP requirements for ceiling-mounted 
CRACs in AHRI 1360-202X Draft are more representative for testing 
ceiling-mounted CRACs than the ESP requirements specified in ANSI/
ASHRAE 127-2007 (as provided in the October 2015 Draft Guidance 
Document). Therefore, DOE is proposing to adopt the provisions in AHRI 
1360-202X Draft regarding testing ceiling-mounted CRACs. If DOE adopts 
the proposed test procedures for ceiling-mounted CRACs, DOE expects 
that this update to the industry consensus standard would obviate the 
need to update/finalize DOE's draft guidance document on this issue. 
(Docket No. EERE-2014-BT-GUID-0022, No. 3, pp. 1-2)
3. Non-Floor Mounted CRACs
    The current DOE test procedure (which references ANSI/ASHRAE 127-
2007) does not provide specific directions for testing wall-mounted or 
roof-mounted CRACs (although they are not excluded from ANSI/ASHRAE 
127-2007). In the July 2017 ASHRAE TP RFI, DOE requested information on 
the extent to which single-package non-floor-mounted air conditioners 
are used in computer room applications. DOE also requested comment on 
whether special test procedure provisions should be developed for 
different kinds of single-package non-floor-mounted air conditioners 
that are used for computer room cooling. 82 FR 34427, 34431 (July 25, 
2017).
    In response to the July 2017 ASHRAE TP RFI, AHRI stated that it did 
not have

[[Page 6960]]

information on the extent to which single-package non-floor-mounted air 
conditioners are used in computer room applications. AHRI further 
stated that it has not studied test provisions for single-package non-
floor-mounted CRACs in-depth, but commented that these units could be 
tested by combining the test set-up(s) used for testing air 
conditioners intended for comfort cooling applications with the rating 
conditions specified for CRACs in AHRI 1360. (AHRI, No. 11 at pp. 2-3)
    AHRI 1360-202X Draft includes wall-mounted and roof-mounted units 
in the scope of the test standard and provides rating and test 
conditions for these units. In light of the provisions in AHRI 1360-
202X Draft regarding testing wall-mounted and roof-mounted CRACs, DOE 
surmises that the approach provided in AHRI 1360-202X Draft represents 
industry consensus regarding the most appropriate and representative 
method for testing these CRACs. DOE is proposing to adopt the 
provisions in AHRI 1360-202X Draft regarding testing wall-mounted and 
roof-mounted CRACs.
    In the July 2017 ASHRAE TP RFI, DOE also requested comment on 
whether there are other configurations of commercial package air 
conditioners that are designed, marketed, or used in computer room 
cooling applications and that meet DOE's current definition for a CRAC, 
beyond floor-mounted units, ceiling-mounted units, portable units, 
indoor single-package wall-mounted units, roof-mounted units, and 
certain SPVUs. 82 FR 34427, 34431 (July 25, 2017).
    In response, AHRI commented that DOE's list of configurations of 
commercial package air conditioners presented in the July 2017 ASHRAE 
TP RFI covers all variations of systems used for data center cooling 
other than variable refrigerant flow multi-split air conditioners and 
heat pumps (``VRF multi-split systems''), evaporative coolers, and site 
built-up systems (i.e., engineered-to-order systems). (AHRI, No. 11 at 
p. 3)
    DOE has not identified any VRF multi-split systems on the market 
that are specifically marketed for computer room cooling applications, 
and provisions for testing such systems are not included in AHRI 1360-
202X Draft or ANSI/ASHRAE 127-2020. Evaporative coolers do not include 
refrigeration systems; therefore, they are not air conditioners and are 
not covered products or equipment under 42 U.S.C. 6291 or 42 U.S.C. 
6311, respectively. The Federal test procedures (and energy 
conservation standards) do not distinguish between ``engineered-to-
order'' equipment and mass-market equipment. To the extent that 
equipment is a CRAC, it is subject to the Federal test procedures and 
applicable energy conservation standards. In its comments, AHRI did not 
provide any indication that there are site-built/engineered-to-order 
CRACs that warrant unique test provisions. In accordance with the CRAC 
configurations covered in AHRI 1360-202X Draft, DOE surmises that the 
provisions provided in AHRI 1360-202X Draft represents industry 
consensus regarding the configurations of CRACs for which specific test 
provisions are warranted. DOE is not proposing test provisions for any 
configurations of CRACs not included in AHRI 1360-202X Draft.
4. ANSI/ASHRAE 37 Test Requirements
    The current DOE test procedure for CRACs references ANSI/ASHRAE 
127-2007, which in turn references ANSI/ASHRAE Standard 37-2005, 
``Methods of Testing for Rating Unitary Air-Conditioning and Heat Pump 
Equipment'' (ANSI/ASHRAE 37-2005). In the July 2017 ASHRAE TP RFI, DOE 
noted that ANSI/ASHRAE 127-2012 and AHRI 1360-2016 reference a more 
recent version (i.e., ANSI/ASHRAE 37-2009), but none of these industry 
test standards for CRACs indicate which specific provisions of the 
applicable version of ANSI/ASHRAE 37 are intended to apply. 82 FR 
34427, 34433 (July 25, 2017). DOE requested comment on whether the test 
method of ANSI/ASHRAE 37-2009 is appropriate for measuring capacity, 
sensible capacity, and electric energy use for all configurations of 
CRACs (including configurations for which DOE does not currently 
prescribe standards). Id.
    In response, AHRI stated that a combination of ANSI/ASHRAE 37-2009, 
ANSI/ASHRAE 127-2012, and the draft version of AHRI 1360 at the time of 
AHRI's comment should cover most test methods for CRACs. (AHRI, No. 11 
at p. 5).
    AHRI 1360-202X Draft also references ANSI/ASHRAE 37-2009 but 
provides additional clarity on the applicability of provisions in ANSI/
ASHRAE 37-2009. Specifically, Section 5.1 of AHRI 1360-202X Draft 
specifies that all testing shall be conducted in accordance with ANSI/
ASHRAE 127-2020 and ANSI/ASHRAE 37-2009, and that in the event of 
conflicting instructions between test standards, the instructions in 
AHRI 1360-202X Draft take precedence. In light of the provisions in 
AHRI 1360-202X Draft regarding the applicability of ANSI/ASHRAE 37-
2009, DOE surmises that the approach provided in AHRI 1360-202X Draft 
represents industry consensus regarding the most appropriate and 
representative method for testing CRACs. DOE is proposing to adopt the 
provisions in AHRI 1360-202X Draft regarding the applicability of ANSI/
ASHRAE 37-2009 for testing CRACs.
    In the July 2017 ASHRAE TP RFI, DOE raised several more specific 
issues related to the applicability of ANSI/ASHRAE 37-2009. These 
issues are addressed in AHRI 1360-202X Draft, and DOE is proposing to 
adopt these provisions in AHRI 1360-202X Draft. These issues are 
discussed in the following subsections.
a. Test Tolerances
    Table 2b of ANSI/ASHRAE 37-2009 includes test operating tolerances 
(i.e., the maximum permissible range of a measurement during the 
specified test interval) and condition tolerances (i.e., the maximum 
permissible difference between the averaged value of the measured test 
parameter and the specified test condition) for several parameters, 
including air and fluid temperatures. Section 5.1 of ANSI/ASHRAE 127-
2007 and Section 5.2.1 of ANSI/ASHRAE 127-2012 include an operating 
tolerance for the room temperature; however, no published versions of 
ANSI/ASHRAE 127 or AHRI 1360 prior to AHRI 1360-2017 specifically 
include tolerances for any other test parameters or clarify whether 
such tolerances are included as part of the general reference to ASHRAE 
Standard 37.
    In the July 2017 ASHRAE TP RFI, DOE requested comment on whether 
any operating or condition tolerances included in Table 2b of ANSI/
ASHRAE 37-2009 are inappropriate for CRACs. If any are inappropriate, 
DOE requested an explanation as to why and suggestions on how the 
tolerances should be changed. 82 FR 34427, 34433 (July 25, 2017).
    In response, AHRI commented that the tolerances listed in Table 2b 
of ANSI/ASHRAE 37-2009 are appropriate for testing CRACs. (AHRI, No. 11 
at p. 5)
    Subsequently, the AHRI 1360 committee has developed an updated 
draft version, AHRI 1360-202X Draft, which specifies operating and 
condition test tolerances in Table 7 of the draft industry test 
standard. These tolerances generally align with those in Table 2b of 
ANSI/ASHRAE 37-2009 but also include tolerances for electrical voltage, 
electrical frequency, and indoor and outdoor dew point temperatures. 
Furthermore, section E5.3.2 of Appendix E of AHRI 1360-202X Draft 
specifies condition tolerances for indoor

[[Page 6961]]

airflow and ESP. DOE is proposing to adopt the test tolerances 
specified in AHRI 1360-202X Draft.
b. Enclosure for CRACs With Compressors in Indoor Units
    DOE's research indicates that most air-cooled CRACs are split 
systems with the compressor(s) housed in the indoor unit. Additionally, 
water-cooled and glycol-cooled CRACs are typically single-package 
systems, and all components in such systems are typically intended for 
indoor installation. Where the compressor is installed in relation to 
the conditioned space and other system components impacts the capacity 
of the system and the provisions necessary for accurately measuring 
system capacity, because waste heat from the compressor is transferred 
to the surrounding air. Section 6.1.5 of ASHRAE 37-2009 states that an 
enclosure as shown in Figure 3 of the standard must be used when the 
compressor is housed in the indoor section (i.e., indoor unit) and 
separately ventilated (i.e., air that absorbs compressor heat would not 
combine with supply air, which is used to measure capacity). Figure 3 
shows an insulated enclosure surrounding the indoor unit that ensures 
that the separately ventilated compressor air recombines with supply 
air to be included in capacity measurements. Hence, the heat rejected 
from the compressor shell is accounted for in the indoor air enthalpy 
method measurement. This test arrangement also reflects field 
performance of the air conditioner to the extent that any compressor 
heat rejected to the indoors will heat the space, thereby reducing 
cooling capacity and increasing heating capacity. For systems where the 
compressor is in the indoor section but not separately ventilated, the 
air that absorbs compressor heat combines with supply air and is 
accounted for in the indoor air enthalpy method capacity measurements 
without the need for the enclosure in Figure 3. In the 2017 ASHRAE TP 
RFI, DOE requested comment on whether it is appropriate to incorporate 
the impact of compressor heat in sensible capacity measurements for 
CRACs with compressors housed in their indoor units. 82 FR 34427, 34433 
(July 25, 2017).
    In response, AHRI stated that the heat released from the compressor 
shell is not significant. AHRI further commented that both the hot and 
cold sections of the compressor are typically exposed to the unit 
airstream, and, therefore, that compressor heat (if any) is already 
included in the sensible capacity measurement of CRACs. Similarly, in 
units where the compressor is in a separate compartment, AHRI stated 
that the negative air pressure of the adjacent evaporator usually pulls 
the compressor heat, if any, into the airstream. (AHRI, No. 11 at p. 
6).
    Section 5.4 of AHRI 1360-202X Draft specifies requirements for when 
an enclosure as shown in Figure 3 of ANSI/ASHRAE 37-2009 must be used 
for testing CRACs. Specifically, Section 5.4.1 notes than an enclosure 
is required for systems for which the compressor(s) is housed in a part 
of the unit that the manufacturer's installation instructions indicate 
is intended for indoor installation and the compressor(s) is separately 
ventilated from the evaporator or condenser airstream. Additionally, 
for systems for which the compressor(s) is housed in a part of the unit 
that the manufacturer's installation instructions indicate is intended 
for indoor installation, but the compressor(s) is not separately 
ventilated--Section 5.4.2 states that an enclosure must be used if the 
required heat balance between the primary and secondary capacity 
measurements cannot be achieved. In light of the provisions in AHRI 
1360-202X Draft regarding enclosures for CRACs with compressors in the 
indoor unit, DOE surmises that AHRI's original position on these 
provisions, as set forth in the comments in response to the July 2017 
ASHRAE TP RFI, changed during the course of developing that industry 
consensus standard. DOE is proposing to adopt the provisions regarding 
enclosures for CRACs with compressors in the indoor unit specified in 
Section 5.4 of AHRI 1360-202X Draft.
c. Secondary Methods for Capacity Measurement
    Section 7.2.1 of ANSI/ASHRAE 37-2005 (which is referenced by ANSI/
ASHRAE 127-2007, which is incorporated by reference in DOE's current 
test procedure) and Section 7.2.1 of ANSI/ASHRAE 37-2009 (which is 
referenced by all CRAC industry test standards published after 2009) 
both require that when testing equipment with a total cooling capacity 
less than 135,000 Btu/h, simultaneous capacity tests must be conducted 
using the indoor air enthalpy method as the primary method and one 
other applicable method as the secondary method.\17\ Specifically, 
these other applicable test methods include the outdoor air enthalpy 
method, the compressor calibration method, the refrigerant enthalpy 
method, and the outdoor liquid coil method. Table 1 of ANSI/ASHRAE 37-
2005 and Table 1 of ANSI/ASHRAE 37-2009 specify which of these test 
methods are applicable for each equipment configuration and method of 
heat rejection in cooling mode. Additionally, Section 10.1.2 of these 
standards requires that the total cooling capacity values calculated 
from the two simultaneously conducted methods agree within 6.0 percent.
---------------------------------------------------------------------------

    \17\ ANSI/ASHRAE 37-2009 does not require secondary capacity 
measurements for equipment with cooling capacity greater than or 
equal to 135,000 Btu/h.
---------------------------------------------------------------------------

    The secondary test method is mainly used to validate the accuracy 
of the capacity measurements. Specifically, the secondary test method 
ensures that all energy flowing into and out from the system are 
accounted for. If the measured total cooling capacity is verified to be 
accurate by using a secondary test method, the measured sensible 
cooling capacity using the indoor air enthalpy method likewise would be 
accurate, thereby ensuring results that are appropriately 
representative of equipment operation during an average use cycle.
    In the 2017 ASHRAE TP RFI, DOE sought comment on whether a 
secondary test is appropriate for testing CRACs, for what range of 
cooling capacity such a requirement should apply for CRACs, how the 
requirement should be applied, what level of agreement should be 
required, and whether there would be a significant additional test 
burden resulting from a secondary test. 82 FR 34427, 34433 (July 25, 
2017).
    In response, AHRI stated that it is not aware of a secondary test 
that confirms sensible cooling capacity specifically. AHRI recommended 
that DOE not adopt a secondary test requirement for CRACs until such 
time as an appropriate test method is developed and proven to be 
accurate. (AHRI, No. 11 at p. 5)
    AHRI 1360-202X Draft includes requirements for conducting secondary 
methods of total capacity measurement for CRACs. More specifically, 
Section E7.2 of Appendix E of AHRI 1360-202X Draft sets forth equipment 
configurations for which secondary measurements are not required, but 
for all other configurations, it requires use of one of the applicable 
``Group B'' methods specified in Table 1 of ANSI/ASHRAE 37-2009 as a 
secondary method.\18\ Section E7.4 of Appendix E

[[Page 6962]]

of AHRI 1360-202X Draft specifies a requirement on agreement between 
total capacity measurements (for applicable equipment)--the secondary 
capacity measurement must be within 6 percent of the primary capacity 
measurement. In light of the provisions in AHRI 1360-202X Draft 
regarding secondary methods for capacity measurement, DOE surmises 
AHRI's original position on these provisions, as set forth in the 
comments in response to the July 2017 ASHRAE TP RFI, changed during the 
course of developing that industry consensus standard. DOE is proposing 
to adopt the provisions regarding secondary methods specified in 
Section E7 of AHRI 1360-202X Draft.
---------------------------------------------------------------------------

    \18\ Specifically, Section E7.2 of Appendix E of AHRI 1360-202X 
Draft includes the following requirements: For the following 
equipment, no secondary measurements are required: (1) Single-
package evaporatively-cooled equipment with rated cooling capacity 
greater than or equal to 135,000 Btu/h and (2) air-cooled single-
package equipment with outdoor airflow rates (either manufacturer-
specified or determined via testing) above 9,000 scfm. For all other 
equipment, use one of the applicable ``Group B'' methods specified 
in Table 1 of ANSI/ASHRAE 37-2009 as a secondary method for capacity 
measurement.
---------------------------------------------------------------------------

5. Ducted Condensers
    CRACs with condensers or condensing units intended for indoor 
installation may require ducting of outdoor air. As part of the July 
2017 ASHRAE TP RFI, DOE requested comment on how to set up the 
condenser airflow when testing CRACs manufactured with condenser air 
inlet and outlet connections and high-static condenser fans (which is 
indicative of units that can be installed indoors with the condenser 
inlet air ducted from the outdoors to the unit, and vice versa for the 
condenser outlet air). Additionally, DOE requested comment on whether 
some CRACs can be installed with or without condenser ducting, and if 
so, how often these units are typically installed with condenser 
ducting. DOE also sought comment on whether certain CRAC configurations 
are more likely to be installed with condenser ducting. 82 FR 34427, 
34434 (July 25, 2017).
    In response, AHRI stated that the condenser airflow is established 
and measured in accordance with ANSI/ASHRAE 37-2009 and ANSI/ASHRAE 
127-2012, and that a two-step process is required when testing in 
psychrometric rooms without an outdoor air measurement chamber. (AHRI, 
No. 11 at p. 7) AHRI also commented that manufacturers do not know what 
percentage of CRACs with indoor condensers are ducted in the field, but 
that all units with indoor condensers are capable of being ducted and 
are rated with an ESP consistent with the requirements in Section 
6.2.4.5 of AHRI 1360-2016.\19\ AHRI further stated that 99 percent of 
air-cooled floor-mounted CRACs utilize outdoor free air discharge 
condensers and that only 1 percent of units are installed with indoor 
ducted condensers. However, AHRI stated that indoor ducted condensers 
are more prevalent for air-cooled ceiling-mounted CRACs (20 percent). 
Additionally, AHRI argued that due to space constraints, as well as 
larger condenser fan motors, ceiling-mounted CRACs with ducted 
condensers should have lower minimum efficiency levels. AHRI stated 
that it will develop a proposal regarding efficiency levels to be 
included in ASHRAE Standard 90.1 for ceiling-mounted CRACs with ducted 
condensers in the near future. Id.
---------------------------------------------------------------------------

    \19\ Section 6.2.4.5 of AHRI 1360-2016 specifies that for 
products intended to be installed with the outdoor airflow ducted, 
the unit shall be installed with outdoor coil ductwork installed per 
manufacturer installation instructions and shall operate at 0.5 in 
H2O ESP.
---------------------------------------------------------------------------

    AHRI 1360-202X Draft includes provisions for testing CRACs with 
ducted condensers. Specifically, Table 6 of AHRI 1360-202X Draft 
provides the following outdoor air ESP requirements for units with 
ducted condensers: 0.5 in H2O \20\ for ceiling-mounted 
units, and 0.0 in H2O for all other configurations. Further, 
Section E6 of Appendix E of AHRI 1360-202X Draft specifies test 
provisions for setting outdoor airflow and outdoor air ESP for units 
with ducted condensers. In light of the provisions in AHRI 1360-202X 
Draft regarding testing CRACs with ducted condensers, DOE surmises that 
the approach provided in AHRI 1360-202X Draft represents industry 
consensus regarding the most appropriate and representative method for 
testing CRACs with ducted condensers. DOE is proposing to adopt the 
provisions in AHRI 1360-202X Draft regarding testing CRACs with ducted 
condensers.
---------------------------------------------------------------------------

    \20\ The symbol ``in H2O'' refers to inches of water 
column.
---------------------------------------------------------------------------

    Regarding AHRI's comment about stringency of minimum efficiency 
levels for ceiling-mounted CRACs with ducted condensers, DOE notes that 
minimum efficiency levels for ceiling-mounted CRACs (including separate 
levels for units with and without ducted condensers) are included in 
ASHRAE Standard 90.1-2019. DOE is evaluating the ASHRAE Standard 90.1-
2019 minimum efficiency levels for CRACs in a separate energy 
conservation standards rulemaking (see Docket No. EERE-2020-BT-STD-
0008).
6. Minimum External Static Pressure Requirements
    In the July 2017 ASHRAE TP RFI, DOE noted that ANSI/ASHRAE 127-2007 
(which is referenced by the current DOE test procedure), ANSI/ASHRAE 
127-2012, and AHRI 1360-2016 all contain different minimum ESP 
specifications. 82 FR 34427, 34433 (July 25, 2017). DOE noted that the 
2007 and 2012 versions of ANSI/ASHRAE 127 contain the same minimum ESP 
levels but use different definitions to determine which minimum ESP 
level applies for a given unit. Specifically, ANSI/ASHRAE 127-2012 
defines ``ducted systems'' as ``air conditioners intended to be 
connected to supply and/or return ductwork'' instead of ``to supply and 
return ductwork,'' as specified in ANSI/ASHRAE 127-2007. Additionally, 
DOE observed that the ESP requirements specified in AHRI 1360-2016 for 
up-flow ducted and down-flow configurations are significantly lower 
than those specified in ANSI/ASHRAE 127-2012. DOE further stated that 
it was considering adopting the test procedures and the ESP 
requirements specified in AHRI 1360-2016, but sought input on whether 
the ESP requirements specified in AHRI 1360-2016 are representative of 
field operation for floor-mounted CRACs. 82 FR 34433-34434 (July 25, 
2017).
    In response, AHRI commented that while there are some unusual 
circumstances where excessive ducting is required, the ESP requirements 
specified in AHRI 1360-2016 are representative of most applications. 
(AHRI, No. 11 at p. 6)
    AHRI 1360-202X Draft specifies indoor air ESP requirements in Table 
5 for all configurations of CRACs. The ESP requirements specified for 
floor-mounted CRACs in Table 5 align with those specified in AHRI 1360-
2016, except that the capacity boundaries for ESP requirements for up-
flow ducted units increased from 65,000 Btu/h and 240,000 Btu/h to 
80,000 Btu/h and 295,000 Btu/h, respectively. This increase in capacity 
boundaries reflects the increase in NSCC associated with the increased 
return air temperature for up-flow ducted units in the NSenCOP metric, 
as compared to the SCOP metric (see section III.E.1.a of this NOPR for 
further discussion of the indoor entering air temperature conditions 
for NSenCOP). ESP requirements for ceiling-mounted CRACs are discussed 
in section III.F.2 of this NOPR, and ESP requirements for wall-mounted 
and roof-mounted CRACs are discussed in section III.F.3 of this NOPR. 
DOE surmises that the approach provided in AHRI 1360-202X Draft 
represents industry consensus regarding the most appropriate and 
representative ESP requirements for testing CRACs. DOE is not proposing 
any deviations from the ESP requirements specified in Table 5 of AHRI 
1360-202X Draft.

[[Page 6963]]

7. Refrigerant Charging Instructions
    The amount of refrigerant charge in an air conditioner can have a 
significant impact on the system performance. DOE's current test 
procedure for CRACs requires that units be set up for test in 
accordance with the manufacturer installation and operation manuals. 10 
CFR 431.96(e). In addition, the current DOE test procedure states that 
if the manufacturer specifies a range of superheat, sub-cooling, and/or 
refrigerant pressures in the installation and operation manual, any 
value within that range may be used to determine refrigerant charge, 
unless the manufacturer clearly specifies a rating value in its 
installation or operation manual, in which case the specified value 
shall be used. 10 CFR 431.96(e)(1). The current DOE test procedure does 
not provide charging instructions if the manufacturer does not provide 
instructions in the manual that is shipped with the unit or if the 
provided instructions are unclear or incomplete.
    As part of the July 2017 ASHRAE TP RFI, DOE noted that neither the 
ASHRAE nor the AHRI test standards for CRACs (published at the time of 
the July 2017 ASHRAE TP RFI) include specific instructions for 
refrigerant charging. 82 FR 34427, 34434 (July 25, 2017). In a June 8, 
2016 final rule for the test procedure for central air conditioners and 
heat pumps (CACs/HPs), DOE further stated that the Federal test 
procedure for CACs/HPs provides a comprehensive approach for 
refrigerant charging intended to improve test reproducibility.\21\ 81 
FR 36992, 37030-37031. Specifically, DOE noted in the July 2017 ASHRAE 
TP RFI that the approach for CACs/HPs indicates which set of 
installation instructions to use for charging, explains what to do if 
there are no instructions, indicates that target values of parameters 
are the centers of the range allowed by installation instructions, and 
specifies tolerances for the measured values. DOE requested comment on 
which refrigerant charging requirements should be considered to 
establish reproducible test results for CRACs, and whether the approach 
for CACs/HPs would be appropriate for CRACs. DOE also requested comment 
on the operating conditions at which CRAC units are typically charged 
in the field and/or what conditions should be used to set refrigerant 
charge for testing purposes. 82 FR 34427, 34434-34435 (July 25, 2017).
---------------------------------------------------------------------------

    \21\ The currently applicable test procedure for CACs/HPs is 
located at 10 CFR part 430, subpart B, appendix M.
---------------------------------------------------------------------------

    In response, AHRI commented that refrigerant charging should be 
based on the manufacturer's instructions, and that because CRACs are 
operated year-round, manufacturers determine the optimum charge for hot 
and cold weather operation. (AHRI, No. 11 at p. 8).
    Section 5.9 of AHRI 1360-202X Draft includes a comprehensive set of 
provisions regarding refrigerant charging for CRACs that is generally 
consistent with the approach for CACs/HPs currently in DOE's 
regulations. Specifically, Section 5.9 of AHRI 1360-202X Draft requires 
that units be charged at conditions specified by the manufacturer in 
accordance with the manufacturer installation instructions or labels 
applied to the unit, which is consistent with AHRI's comment. If there 
are no manufacturer-specified charging conditions, Section 5.9 of AHRI 
1360-202X Draft specifies charging at the standard rating conditions 
(as defined in Tables 3 and 4 of that test standard). Section 5.9 of 
AHRI 1360-202X Draft also provides additional charging instructions to 
be used if the manufacturer does not provide instructions or if the 
provided instructions are unclear or incomplete (e.g., specifying 
default charging targets to use if none are provided by the 
manufacturer and specifying an instruction priority to be used in the 
event of conflicting information between multiple manufacturer-provided 
charging instructions). In light of the provisions in AHRI 1360-202X 
Draft, DOE surmises that the approach provided in AHRI 1360-202X Draft 
represents industry consensus regarding the most appropriate and 
representative approach for refrigerant charging for testing CRACs. DOE 
is not proposing any deviations from the refrigerant charging 
provisions specified in Section 5.9 of AHRI 1360-202X Draft.

G. Configuration of Unit Under Test

    CRACs are distributed in commerce in a variety of configurations 
consisting of different combinations of components. The following 
sections address the required configuration of units under test.
1. Specific Components
    An Appliance Standards and Rulemaking Federal Advisory Committee 
(ASRAC) working group for certain commercial heating, ventilating, and 
air conditioning (HVAC) equipment (Commercial HVAC Working Group),\22\ 
which included CRACs, submitted a term sheet (Commercial HVAC Term 
Sheet) providing the Commercial HVAC Working Group's recommendations. 
(Docket No. EERE-2013-BT-NOC-0023, No. 52) \23\ The Commercial HVAC 
Working Group recommended that DOE issue guidance under current 
regulations on how to test certain equipment features when included in 
a basic model, until the testing of such features can be addressed 
through a test procedure rulemaking. The Commercial HVAC Term Sheet 
listed the subject features under the heading ``Equipment Features 
Requiring Test Procedure Action.'' (Id. at pp. 3-9) The Commercial HVAC 
Working Group also recommended that DOE issue an enforcement policy 
stating that DOE would exclude certain equipment with specified 
features from Departmental testing, but only when the manufacturer 
offers for sale at all times a model without that feature but that is 
identical in terms of all other features; otherwise, the model with 
that feature would be eligible for Departmental testing. These features 
were listed under the heading ``Equipment Features Subject to 
Enforcement Policy.'' (Id. at pp. 9-15)
---------------------------------------------------------------------------

    \22\ In 2013, members of ASRAC formed the Commercial HVAC 
Working Group to engage in a negotiated rulemaking effort regarding 
the certification of certain commercial HVAC equipment, including 
CRACs. The Commercial HVAC Working Group's recommendations are 
available at www.regulations.gov under Docket No. EERE-2013-BT-NOC-
0023-0052.
    \23\ Available at www.regulations.gov/document/EERE-2013-BT-NOC-0023-0052.
---------------------------------------------------------------------------

    On January 30, 2015, DOE issued a Commercial HVAC Enforcement 
Policy addressing the treatment of specific features during 
Departmental testing of commercial HVAC equipment. (See www.energy.gov/gc/downloads/commercial-equipment-testing-enforcement-policies) The 
Commercial HVAC Enforcement Policy stated that--for the purposes of 
assessment testing pursuant to 10 CFR 429.104, verification testing 
pursuant to 10 CFR 429.70(c)(5), and enforcement testing pursuant to 10 
CFR 429.110--DOE would not test a unit with one of the optional 
features listed for a specified equipment type if a manufacturer 
distributes in commerce an otherwise identical unit that does not 
include one of the optional features. (Id at p. 1) The objective of the 
Commercial HVAC Enforcement Policy is to ensure that each basic model 
has a commercially-available version eligible for DOE testing, meaning 
that each basic model includes either a model without the optional 
feature(s) or a model with the optional features that is eligible for 
testing. Id. The features in the Commercial HVAC Enforcement Policy for 
CRACs align with the Commercial HVAC Term Sheet's list designated

[[Page 6964]]

``Equipment Features Subject to Enforcement Policy.''
    AHRI 1360-202X Draft includes Appendix D, ``Unit Configuration for 
Standard Efficiency Determination--Normative.'' Section D2 of that 
appendix includes a list of features that are optional for testing. 
Section D2 of AHRI 1360-202X Draft further specifies the following 
general provisions regarding testing of units with optional features:
     If an otherwise identical model (within the same basic 
model) without the feature is distributed in commerce, test the 
otherwise identical model.
     If an otherwise identical model (within the same basic 
model) without the feature is not distributed in commerce, conduct 
tests with the feature present but configured and de-activated so as to 
minimize (partially or totally) the impact on the results of the test 
(as determined per the provisions in section D2). Alternatively, the 
manufacturer may indicate in the supplemental testing instructions that 
the test shall be conducted using a specially built otherwise identical 
unit that is not distributed in commerce and does not have the feature.
    The optional features provisions in AHRI 1360-202X Draft are 
generally consistent with DOE's Commercial HVAC Enforcement Policy, but 
the list of optional features in Section D2 of AHRI 1360-202X Draft 
does not align with the list of features included for CRACs in the 
Commercial HVAC Enforcement Policy. For CRACs, the Commercial HVAC 
Enforcement Policy specifies two optional features (high-static 
condenser fan/motor assembly and dehumidification components) which are 
not included in the optional features section in Section D2 of AHRI 
1360-202X Draft. DOE understands AHRI 1360-202X Draft to represent the 
industry consensus position on testing CRACs. As such, DOE understands 
the industry consensus to be that these two features should not be 
treated as optional features for CRACs.
    Additionally, unlike Section D2 of AHRI 1360-202X Draft, DOE's 
Commercial HVAC Enforcement Policy does not allow a manufacturer to 
test a specially-built otherwise identical model for testing models 
without a feature that are not distributed in commerce. Because testing 
such specially-built models would not provide ratings representative of 
equipment distributed in commerce, DOE has tentatively concluded that 
this option is not appropriate. Therefore, consistent with the 
Commercial HVAC Enforcement Policy, DOE is not proposing to include 
this option for testing specially-built units in its representation and 
enforcement provisions.
    DOE notes that the list of features and provisions in Section D2 of 
Appendix D of AHRI 1360-202X Draft conflates features that can be 
addressed by testing provisions with features that warrant enforcement 
relief (i.e., features that, if present on a unit under test, could 
have a substantive impact on test results and that cannot be disabled 
or otherwise mitigated). This differentiation was central to the 
Commercial HVAC Term Sheet, which as noted previously, included 
separate lists for ``Equipment Features Requiring Test Procedure 
Action'' and ``Equipment Features Subject to Enforcement Policy,'' and 
remains central to providing clarity in DOE's regulations. Further, 
provisions more explicit than what is included in Section D2 of AHRI 
1360-202X Draft are warranted to clarify the differences between how 
specific components must be treated when manufacturers are making 
representations as opposed to when DOE is conducting enforcement 
testing.
    In order to provide clarity between test procedure provisions 
(i.e., how to test a specific unit) and representation and enforcement 
provisions (e.g., which model to test), DOE is not proposing to adopt 
Sections D1 and D2 of Appendix D of AHRI 1360-202X Draft but instead is 
proposing to adopt related provisions in 10 CFR part 431, subpart F, 
appendix E1, in 10 CFR 429.43, and in 10 CFR 429.134, without any 
substantive change to the requirements, except as discussed 
subsequently regarding coated coils and previously regarding specially-
built units.
    Specifically, in 10 CFR part 431, subpart F, appendix E1, DOE 
proposes test procedure provisions for specific components, including 
the components listed in section D2 of AHRI 1360-202X Draft for which 
there is a unique test procedure action (i.e., test procedure 
provisions specific to the component that are not addressed by general 
provisions in AHRI 1360-202X Draft to test per manufacturers' 
installation instructions).\24\ These provisions would specify how to 
test a unit with such a component. For example, for a unit with an air 
economizer factory-installed, place the economizer in the 100-percent 
return position and close and seal the outside air dampers for testing. 
These proposed test provisions are consistent with the provision in 
Section D2 of AHRI 1360-202X Draft, but include revisions for further 
clarity and specificity (e.g., adding clarifying provisions for how to 
test units with modular economizers, as opposed to units shipped with 
economizers installed).
---------------------------------------------------------------------------

    \24\ For the following components listed in Section D2 of AHRI 
1360-202X Draft, DOE has tentatively concluded that there is not a 
specific test procedure action to be specified for testing a unit 
with the component present: Powered exhaust/powered return air fans, 
coated coils, compressor variable frequency drive (VFD), flooded 
condenser head pressure controls, and condensate pump.
---------------------------------------------------------------------------

    Consistent with the Commercial HVAC Term Sheet and the Commercial 
HVAC Enforcement Policy, in 10 CFR 429.43(a)(4), DOE is proposing 
provisions that would allow determination of represented values to be 
based on an individual model distributed in commerce without the 
component in specific cases. The components to which these provisions 
apply are limited to those components for which the test provisions for 
testing a unit with these components may result in differences in 
ratings compared to testing a unit without these components.\25\ For 
these components, DOE proposes in 10 CFR 429.43(a)(4) that:
---------------------------------------------------------------------------

    \25\ DOE has tentatively concluded that for the following 
features included in Section D2 of AHRI 1360-202X Draft, testing a 
unit with these components in accordance with the proposed test 
provisions would not result in differences in ratings compared to 
testing a unit without these components. Therefore, DOE is not 
proposing to include these features in 10 CFR 429.43(a)(4): High-
effectiveness indoor air filtration, harmonic distortion mitigation 
devices, electric reheat elements, and non-standard power 
transformer.
---------------------------------------------------------------------------

     If a basic model includes only individual models 
distributed in commerce with a specific component, or does not include 
any otherwise identical individual models without the specific 
component, the manufacturer must determine represented values for the 
basic model based on performance of an individual model with the 
component present (and consistent with any relevant proposed test 
procedure provisions in appendix E1).
     If a basic model includes both individual models 
distributed in commerce with a specific component and otherwise 
identical individual models without the specific component, the 
manufacturer may determine represented values for the basic model based 
on performance of an individual model either with the component present 
(and consistent with any relevant proposed test procedure provisions in 
appendix E1) or without the component present.
    DOE's proposed provisions in 10 CFR 429.43(a)(4) include all of the 
optional features (excluding those that pertain only to chilled water 
equipment and not to CRACs) specified in Section D2 of AHRI 1360-202X 
Draft for which the

[[Page 6965]]

test provisions for testing a unit with these components may result in 
differences in ratings compared to testing a unit without these 
components, except coated coils. DOE is proposing to exclude coated 
coils from the specific components list specified in 10 CFR 429.43 
because DOE has tentatively concluded that the presence of coated coils 
does not result in a significant impact to performance of CRACs, and, 
therefore, that models with coated coils should be rated based on 
performance of models with coated coils.
    DOE notes that in some cases, individual models may include 
multiples of the specified components or there may be individual models 
within a basic model that include various versions of the specified 
components that result in more or less energy use. In these cases, the 
represented values of performance must be representative of the lowest 
efficiency found within the basic model.
    Also consistent with the Commercial HVAC Term Sheet and the 
Commercial HVAC Enforcement Policy, in 10 CFR 429.134(g), DOE is 
proposing provisions regarding how DOE would assess compliance for 
basic models that include individual models distributed in commerce 
with specific components.
     If a basic model includes only individual models 
distributed in commerce with a specific component, or does not include 
any otherwise identical individual models without the specific 
component, DOE may assess compliance for the basic model based on 
testing an individual model with the component present (and consistent 
with any relevant proposed test procedure provisions in appendix E1).
     If a basic model includes both individual models 
distributed in commerce with a specific component and otherwise 
identical individual models without the specific component, DOE will 
assess compliance for the basic model based on testing of an otherwise 
identical model within the basic model that does not include the 
component, except if DOE is not able to obtain such a model for 
testing. In such a case, DOE will assess compliance for the basic model 
based on testing of an individual model with the specific component 
present (and consistent with any relevant proposed test procedure 
provisions in appendix E1).
    Were DOE to adopt the provisions in 10 CFR part 431, subpart F, 
appendix E1, 10 CFR 429.43, and 10 CFR 429.134 as proposed, DOE would 
rescind the Commercial HVAC Enforcement Policy to the extent it is 
applicable to CRACs. In a separate certification rulemaking, DOE may 
consider certification reporting requirements such that manufacturers 
would be required to certify which otherwise identical models are used 
for making representations of basic models that include individual 
models with specific components.
    Issue 4: DOE seeks comment on its proposals regarding specific 
components in 10 CFR part 431, subpart F, appendix E1, 10 CFR 429.43, 
and 10 CFR 429.134.
2. Non-Standard Indoor Fan Motors
    The Commercial HVAC Enforcement Policy includes high-static indoor 
blowers/oversized motors as an optional feature for CRACs, among other 
equipment. The Commercial HVAC Enforcement Policy states that when 
selecting a unit of a basic model for DOE[hyphen]initiated testing, if 
the basic model includes a variety of high-static indoor blowers or 
oversized motor options,\26\ DOE will test a unit that has a standard 
indoor fan assembly (as described in the STI that is part of the 
manufacturer's certification, including information about the standard 
motor and associated drive that was used in determining the certified 
rating). This policy only applies where: (a) The manufacturer 
distributes in commerce a model within the basic model with the 
standard indoor fan assembly (i.e., standard motor and drive), and (b) 
all models in the basic model have a motor with the same or better 
relative efficiency performance as the standard motor included in the 
test unit, as described in a separate guidance document discussed 
subsequently. If the manufacturer does not offer models with the 
standard motor identified in the STI or offers models with high-static 
motors that do not comply with the comparable efficiency guidance, DOE 
will test any indoor fan assembly offered for sale by the manufacturer.
---------------------------------------------------------------------------

    \26\ The Commercial HVAC Enforcement Policy defines ``high 
static indoors blower or oversized motor'' as an assembly that 
drives the fan and can deliver higher external static pressure than 
the standard indoor fan assembly sold with the equipment.
---------------------------------------------------------------------------

    DOE subsequently issued a draft guidance document (``Draft 
Commercial HVAC Guidance Document'') on June 29, 2015 to request 
comment on a method for comparing the efficiencies of a standard motor 
and a high-static indoor blower/oversized motor.\27\ As presented in 
the Draft Commercial HVAC Guidance Document, the relative efficiency of 
an indoor fan motor would be determined by comparing the percent losses 
of the standard indoor fan motor to the percent losses of the non-
standard (oversized) indoor fan motor. The percent losses would be 
determined by comparing each motor's wattage losses to the wattage 
losses of a corresponding reference motor. Additionally, the draft 
method contains a table that includes a number of situations with 
different combinations of characteristics of the standard motor and 
oversized motor (e.g, whether each motor is subject to Federal 
standards for motors, whether each motor can be tested to the Federal 
test procedure for motors, whether each motor horsepower is less than 
one) and specifies for each combination whether the non-standard fan 
enforcement policy would apply (i.e., whether DOE would not test a 
model with an oversized motor, as long as the relative efficiency of 
the oversized motor is at least as good as performance of the standard 
motor). DOE has not issued a final guidance document and is instead 
addressing the issue for CRACs in this test procedure rulemaking.
---------------------------------------------------------------------------

    \27\ Available at www1.eere.energy.gov/buildings/appliance_standards/pdfs/draft-commercial-hvac-motor-faq-2015-06-29.pdf.
---------------------------------------------------------------------------

    Section D3 of AHRI 1360-202X Draft includes two different 
approaches for comparing the efficiency for standard and non-standard 
indoor fan motors.\28\ Section D3.1 of AHRI 1360-202X Draft includes an 
approach for directly comparing the efficiency for standard and non-
standard indoor fan motors, and this approach applies for most indoor 
fan assemblies. Section D3.2 includes an approach to compare 
performance for certain integrated fan and motor (IFM) combinations in 
which the motor and fan cannot be separated and/or are not rated 
separately.
---------------------------------------------------------------------------

    \28\ Section D3 of AHRI 1360-202X Draft states that: (1) The 
standard indoor fan motor is the motor specified in the 
manufacturer's installation instructions by the manufacturer for 
testing and shall be distributed in commerce as part of a particular 
model; and that (2) a non-standard motor is an indoor fan motor that 
is not the standard indoor fan motor and that is distributed in 
commerce as part of an individual model within the same Basic Model.
---------------------------------------------------------------------------

    Section D3.1 of AHRI 1360-202X Draft requires that in order for the 
individual model with the non-standard indoor fan motor to be certified 
within the same basic model as the individual model with the standard 
indoor fan motor, the non-standard indoor fan motor must be more 
efficient than the minimum value calculated using Equation D1 of AHRI 
1360-202X Draft. This minimum non-standard motor efficiency calculation 
is dependent on the efficiency of the standard fan motor and the 
reference efficiencies (determined per Table D1 of AHRI 1360-202X 
Draft) of the standard and non-standard fan motors.

[[Page 6966]]

    Section D3.2 of AHRI 1360-202X Draft contains a method for 
comparing performance of IFMs. Because the motor in an IFM is not 
separately rated from the fan, this method compares the performance of 
the entire fan-motor assembly for the standard and non-standard IFMs, 
rather than just the fan motors. This approach enables comparison of 
the relative performance of standard and non-standard IFMs, for which 
motor efficiencies could otherwise not be compared using the method 
specified in Section D3.1 of AHRI 1360-202X Draft. Specifically, this 
method determines the ratio of the input power of the non-standard IFM 
to the input power of the standard IFM at the same duty point, as 
defined in Section D3.2 of AHRI 1360-202X Draft (i.e., operating at the 
maximum external static pressure for the standard IFM at the rated 
airflow). If the input power ratio does not exceed the maximum ratio 
specified in Table D3 of AHRI 1360-202X Draft, the individual model 
with the non-standard IFM may be certified within the same basic model 
as the individual model with the standard IFM. Section D3.2 of AHRI 
1360-202X Draft allows these calculations to be conducted using either 
test data or simulated performance data.
    The approaches in Section D3 of AHRI 1360-202X Draft for non-
standard indoor fan motors and IFMs generally align with the approaches 
of the Commercial HVAC Enforcement Policy and the Draft Commercial HVAC 
Guidance Document, while providing greater detail and accommodating a 
wider range of fan motor options. DOE also has tentatively determined 
that Section D3 of Appendix D of AHRI 1360-202X Draft would more fully 
provide the guidance intended by the Commercial HVAC Enforcement Policy 
with regard to non-standard indoor fan motors.
    DOE proposes to adopt the provisions in Section D3 of AHRI 1360-
202X Draft for comparing performance of standard and non-standard 
indoor fan motors and IFMs in the proposed appendix E1.\29\ 
Additionally, DOE proposes to adopt the provisions in Section D3 of 
Appendix D of AHRI 1360-202X Draft for the determination of the 
represented efficiency value of CRACs at 10 CFR 429.43(a)(3)(v)(C) and 
for DOE assessment and enforcement testing of CRACs at 10 CFR 
429.134(s)(1). Were DOE to adopt the references to section D3 of 
Appendix D of AHRI 1360-202X Draft, as proposed, DOE would rescind the 
Commercial HVAC Enforcement Policy to the extent it is applicable to 
CRACs.
---------------------------------------------------------------------------

    \29\ Per DOE's existing certification regulations, if a 
manufacturer were to use the proposed approach to certify a basic 
model, the manufacturer would be required to maintain documentation 
of how the relative efficiencies of the standard and non-standard 
fan motors or the input powers of the standard and non-standard IFMs 
were determined, as well as the supporting calculations. See 10 CFR 
429.71.
---------------------------------------------------------------------------

    Issue 5: DOE requests comment on its proposal to adopt the methods 
for comparing relative efficiency of standard and non-standard indoor 
fan motors and integrated fan and motor combinations specified in 
Section D3 of AHRI 1360-202X Draft in the proposed test procedure in 10 
CFR part 431, subpart F, appendix E1, as well as in provisions for 
determination of represented values in 10 CFR 429.43(a) and provisions 
for DOE assessment and enforcement testing in 10 CFR 429.134.

H. General Comments

    In response to the July 2017 ASHRAE TP RFI, DOE received several 
general comments not specific to any one equipment category or test 
procedure. This section addresses those comments.
    NCI recommended that DOE follow the development of ASHRAE Standard 
221P, ``Test Method to Measure and Score the Operating Performance of 
an Installed Constant Volume Unitary HVAC System,'' and consider where 
it may be appropriately applied within EPCA test procedures. (NCI, No. 
4 at pp. 1-2) NCI stated that it has collected data indicating that 
typical split systems and packaged units serving residential and small 
commercial buildings typically deliver 50 percent to 60 percent of the 
rated capacity to the occupied zone, thereby making laboratory tests 
unrepresentative of field performance. Id.
    As noted in section I.A of this NOPR, EPCA prescribes that if an 
industry testing procedure or rating procedure developed or recognized 
by industry (as referenced in ASHRAE Standard 90.1) is amended, DOE 
must update its test procedure to be consistent with the amended 
industry test procedure, unless DOE determines, by rule published in 
the Federal Register and supported by clear and convincing evidence, 
that such amended test procedure would not meet the requirements in 42 
U.S.C. 6314(a)(2) and (3) related to representative use and test 
burden. (42 U.S.C. 6314(a)(4)(A) and (B)) DOE notes that ASHRAE 
Standard 90.1 does not reference ANSI/ASHRAE Standard 221-2020, ``Test 
Method to Field-Measure and Score the Cooling and Heating Performance 
of an Installed Unitary HVAC System'' \30\ as the applicable test 
procedure for CRACs. NCI also did not provide data on field performance 
or any correlations between CRAC field performance and laboratory test 
performance for DOE to consider. Furthermore, ASHRAE 221-2020 does not 
provide a method to determine the efficiency of CRACs. As discussed, 
DOE is proposing to adopt the substance of AHRI 1360-202X Draft, either 
through incorporation by reference of the final version of the update 
to AHRI 1360 as published, or by specifying the substance of the 
relevant test procedure provisions in the CFR.
---------------------------------------------------------------------------

    \30\ Found online at www.webstore.ansi.org/Standards/ASHRAE/ANSIASHRAEStandard2212020. ASHRAE Standard 221P was the name of the 
proposed standard prior to publication. However, after publication, 
the name of that standard became ASHRAE Standard 221-2020.
---------------------------------------------------------------------------

    The CA IOUs commented that while the July 2017 ASHRAE TP RFI 
expressed interest in reducing burden to manufacturers, DOE already 
took steps to reduce burden by allowing alternative energy efficiency 
or energy use determination methods (AEDMs). (CA IOUs, No. 7 at pp. 1-
2) The CA IOUs expressed their view that there are no further 
opportunities to streamline test procedures to limit testing burden. 
Id. Additionally, the CA IOUs emphasized the importance of accurate 
efficiency ratings for its incentive programs and customer knowledge, 
pointing to the statutory provision that test procedures must produce 
results that are representative of the product's energy efficiency. 
(Id.)
    Lennox stated that it generally supports DOE meeting the statutory 
requirements to design test procedures to measure energy efficiency 
during an average use cycle, but in doing so, the commenter requested 
that DOE also consider overall impacts on consumers and manufacturers. 
(Lennox, No. 8 at pp. 1-2). The commenter stated that in commercial 
applications, predicting actual energy use from a single metric is 
difficult and that a metric better serves as a point of comparison. 
(Id.) Lennox suggested that DOE should strike a balance between 
evaluating equipment in a meaningful way without introducing 
unwarranted regulatory burden from overly complex test procedures or 
calculations that provide little value to consumers. (Id.)
    In response to the CA IOUs and Lennox, DOE notes that its approach 
to test procedures is largely dictated by the requirements of EPCA. As 
discussed, EPCA prescribes that the test procedures for commercial 
package air conditioning and heating equipment must be those

[[Page 6967]]

generally accepted industry testing procedures or rating procedures 
developed or recognized by industry as referenced in ASHRAE Standard 
90.1. (42 U.S.C. 6314(a)(4)(A)) If such relevant industry test 
procedure is amended, DOE must update its test procedure to be 
consistent with the amended industry consensus test procedure, unless 
DOE determines, by rule published in the Federal Register and supported 
by clear and convincing evidence, that the amended test procedure would 
not meet the requirements in 42 U.S.C. 6314(a)(2) and (3) related to 
representative use and test burden. (42 U.S.C. 6314(a)(4)(B)) In 
establishing or amending its test procedures, DOE must develop test 
procedures that are reasonably designed to produce test results which 
reflect energy efficiency, energy use, and estimated operating costs of 
a type of industrial equipment during a representative average use 
cycle and that are not unduly burdensome to conduct. (42 U.S.C. 
6314(a)(2)). DOE's considerations of these requirements in relation to 
individual test method issues are discussed within the relevant 
sections of this NOPR.
    The Joint Advocates stated that there are ambiguities in industry 
test procedures, and these commenters recommended that DOE should 
address these ambiguities in order to provide a level playing field for 
manufacturers and to ensure that any verification or enforcement 
testing is consistent with manufacturers' own testing. (Joint 
Advocates, No. 9 at p. 2)
    In response, DOE notes that the Joint Advocates did not identify 
any specific test provisions that were the cause of their concern. In 
the context of the test procedure for CRACs, DOE has carefully and 
thoroughly evaluated the industry test standard in the context of the 
statutory criteria regarding representativeness of the measured energy 
efficiency and test burden. To the extent there are provisions in the 
relevant industry test procedure that may benefit from further detail, 
such provisions are discussed in the previous sections of this 
document. DOE welcomes further stakeholder input on this topic, as 
necessary.

I. Represented Values

1. Multiple Refrigerants
    DOE recognizes that some commercial package air conditioning and 
heating equipment may be sold with more than one refrigerant option 
(e.g., R-410A or R-407C). Typically, manufacturers specify a single 
refrigerant in their literature for each unique model, but in its 
review, DOE has identified at least one CRAC manufacturer that provides 
two refrigerant options under the same model number. The refrigerant 
chosen by the customer in the field installation may impact the energy 
efficiency of a unit. For this reason, DOE is proposing representation 
requirements applicable to models approved for use with multiple 
refrigerants. So that the proposals in this NOPR would only require 
manufacturers to update representations once, DOE proposes to align the 
compliance date for these representation requirements with the proposed 
metric change (i.e., these proposals would only be required when 
certifying to amended standards in terms of NSenCOP).
    Use of a refrigerant (such as R-407C as compared to R-410A) that 
requires different hardware (i.e., compressors, heat exchangers, or air 
moving systems that are not the same or comparably performing) would 
represent a different basic model, and according to current DOE 
regulations, separate representations of energy efficiency are required 
for each basic model. 10 CFR 429.43(a) In contrast, some refrigerants 
(such as R-422D, R-427A) do not require different hardware, and a 
manufacturer may consider them to be the same basic model, per DOE's 
current definition for ``basic model'' at 10 CFR 431.92. In the latter 
case of a CRAC with multiple refrigerant options that do not require 
different hardware, DOE proposes that a manufacturer must determine the 
represented values in the proposed new section 10 CFR 
429.43(a)(3)(v)(A) (e.g., NSenCOP and net sensible cooling capacity) 
for that basic model based on the refrigerant(s)--among all 
refrigerants listed on the unit's nameplate--that result in the lowest 
cooling efficiency. These represented values would apply to the basic 
model for all refrigerants specified by the manufacturer as appropriate 
for use, regardless of which refrigerant is actually used in the field.
    Issue 6: DOE requests comment on its proposal regarding 
representations for CRAC basic models approved for use with multiple 
refrigerants.
2. Net Sensible Cooling Capacity
    For CRACs, NSCC determines equipment class, which in turn 
determines the applicable energy conservation standard. 10 CFR 431.97. 
While NSCC is a required represented value for CRACs, DOE does not 
currently specify any provisions for CRACs regarding how close the 
represented value of NSCC must be to the tested or AEDM-simulated NSCC, 
or whether DOE will use measured or certified NSCC to determine 
equipment class for enforcement testing. In contrast, at paragraphs 
(a)(1)(iv) and (a)(2)(ii) of 10 CFR 429.43 and paragraph (g) of 10 CFR 
429.134, DOE specifies such provisions regarding the cooling capacity 
for air-cooled CUACs (ACUACs). Because energy conservation standards 
for CRACs are dependent on NSCC, inconsistent approaches to the 
application of NSCC between basic models could result in inconsistent 
determinations of equipment class and, in turn, inconsistent 
applications of the energy conservation standards.
    Consequently, DOE is proposing to add the following provisions 
regarding NSCC for CRACs: (1) A requirement that the represented NSCC 
be between 95 percent and 100 percent of the tested or AEDM-simulated 
NSCC; and (2) an enforcement provision stating that DOE would use the 
mean of measured NSCC values from testing, rather than the certified 
NSCC, to determine the applicable standards.
    First, DOE proposes to require in 10 CFR 429.43(a)(3)(v)(B) that 
the represented value of NSCC must be between 95 percent and 100 
percent of the mean of the NSCC values measured for the units in the 
sample (if determined through testing), or between 95 percent and 100 
percent of the NSCC output simulated by an AEDM. This tolerance would 
help to ensure that equipment is capable of performing at the cooling 
capacity for which it is represented to commercial consumers, while 
also enabling manufacturers to conservatively rate the cooling capacity 
to allow for minor variations in the capacity measurements from 
different units tested at different laboratories.
    Second, DOE is proposing in its product-specific enforcement 
provisions at 10 CFR 429.134(s)(1) that the NSCC of each tested unit of 
the basic model will be measured pursuant to the test requirements of 
10 CFR part 431, subpart F, appendix E1 and that the mean of the 
measurement(s) will be used to determine the applicable standard for 
compliance purposes.
    As discussed, determination of the applicable energy conservation 
standard for CRACs is dependent on the rated NSCC. Specifically, the 
standards for CRACs generally decrease in stringency with increasing 
NSCC (i.e., equipment classes with higher NSCC ranges have lower 
standards than equipment classes with lower NSCC ranges). Consequently, 
over-rating a system could result in decreased stringency by 
incorrectly applying a more lenient standard prescribed for a higher 
NSCC equipment class. DOE has tentatively concluded that these 
proposals would result in

[[Page 6968]]

more accurate ratings of NSCC, thereby ensuring application of the 
appropriate energy conservation standards, while providing 
manufacturers the flexibility to conservatively rate NSCC so as to 
provide reasonable certainty that the subject equipment is capable of 
delivering the NSCC represented to commercial consumers.
    Issue 7: DOE requests comment on its proposals related to 
represented values and verification testing of NSCC for CRACs.
3. Validation Class for Glycol-Cooled CRACs
    DOE's existing testing regulations allow the use of an AEDM, in 
lieu of actual testing, to simulate the efficiency of CRACs. 10 CFR 
429.43(a). In the AEDM requirements for CRACs in 10 CFR 429.70, the 
table itemizing validation classes for commercial HVAC equipment 
inadvertently omits glycol-cooled CRACs. For this reason and because 
DOE understands glycol-cooled CRACs to be similar in design to water-
cooled CRACs, DOE is proposing to include glycol-cooled CRACs in the 
existing validation class for water-cooled CRACs at 10 CFR 
429.70(c)(2)(iv). Specifically, DOE proposes at 10 CFR 429.70(c)(2)(iv) 
that the minimum number of distinct water-cooled and/or glycol-cooled 
models that must be tested per AEDM would be two basic models, which 
aligns with the ``two basic model'' requirement that currently applies 
to the water-cooled CRACs validation class.

J. Test Procedure Costs and Impact

    In this NOPR, DOE proposes to amend the existing test procedure for 
CRACs, by adopting the substance of the latest draft version of the 
applicable industry test method, AHRI 1360-202X Draft, including the 
energy efficiency metric, NSenCOP. To the extent that AHRI 1360 is 
finalized consistent with the draft, DOE proposes to incorporate the 
industry test standard by reference. If there are substantive changes 
between the draft and published versions of AHRI 1360, DOE may adopt 
the substance of AHRI 1360-202X Draft or provide additional opportunity 
for comment. DOE also proposes to amend its representation and 
enforcement provisions for CRACs.
    DOE has tentatively determined that the proposed amendments in this 
NOPR would improve the representativeness, accuracy, and 
reproducibility of the test results and would not be unduly burdensome 
for manufacturers to conduct or result in increased testing cost as 
compared to the current test procedure. Because the current DOE test 
procedure for CRACs would be relocated to appendix E without change, 
the proposed test procedure in appendix E for measuring SCOP would 
result in no change in testing practices.
    Should DOE adopt standards in a future energy conservation 
standards rulemaking in terms of the new metric (NSenCOP), the proposed 
test procedure in appendix E1 for measuring NSenCOP (which DOE proposes 
to be substantively the same as AHRI 1360-202X Draft) would be 
required. DOE has tentatively concluded that this proposed test 
procedure would not increase third-party lab testing costs per unit 
relative to the current DOE test procedure, which DOE estimates to be 
$10,200 for CRACs \31\ for physical testing. However, DOE has 
tentatively concluded that the potential adoption of standards 
denominated in terms of NSenCOP (and corresponding requirement to use 
the proposed test procedure in appendix E1) would alter the measured 
energy efficiency for CRACs. Consequently, manufacturers may not be 
able to rely on data generated under the current test procedure and 
would, therefore, be required to re-rate CRAC models. Once again, in 
accordance with 10 CFR 429.70, CRAC manufacturers may elect to use 
AEDMs to rate models, which significantly reduces costs to industry. 
DOE estimates the per-manufacturer cost to develop and validate an AEDM 
for CRACs to be $46,000. DOE estimates a cost of approximately $50 per 
basic model \32\ for determining energy efficiency using the validated 
AEDM.
---------------------------------------------------------------------------

    \31\ Manufacturers are not required to perform laboratory 
testing on all basic models. In accordance with 10 CFR 429.70, CRAC 
manufacturers may elect to use AEDMs. An AEDM is a computer modeling 
or mathematical tool that predicts the performance of non-tested 
basic models. These computer modeling and mathematical tools, when 
properly developed, can provide a means to predict the energy usage 
or efficiency characteristics of a basic model of a given covered 
product or equipment and reduce the burden and cost associated with 
testing.
    \32\ DOE estimated initial costs to validate an AEDM assuming 80 
hours of general time to develop an AEDM based on existing 
simulation tools and 16 hours to validate two basic models within 
that AEDM at the cost of an engineering technician wage of $50 per 
hour plus the cost of third-party physical testing of two units per 
validation class (as required in 10 CFR 429.70(c)(2)(iv)). DOE 
estimated the additional per basic model cost to determine 
efficiency using an AEDM, assuming 1 hour per basic model at the 
cost of an engineering technician wage of $50 per hour.
---------------------------------------------------------------------------

    Given that most CRAC manufacturers are AHRI members and that DOE is 
proposing to adopt the procedure in the prevailing industry test 
procedure that was established for use in AHRI's certification program, 
which has already been updated to include NSenCOP, DOE expects that 
most manufacturers would already be testing using the published version 
of the AHRI 1360-202X Draft in the timeframe of any potential future 
energy conservation standard. Based on this, DOE has tentatively 
determined that the proposed test procedure amendments would not be 
expected to increase the testing burden on CRAC manufacturers that are 
AHRI members. For the minority of CRAC manufacturers that are not 
members of AHRI, the proposed test procedure amendments may have costs 
associated with model re-rating, to the extent that the manufacturers 
would not already be testing to the updated industry test procedure.
    Issue 8: DOE requests comment on its understanding of the impact of 
the test procedure proposals in this NOPR, specifically DOE's initial 
conclusion that the proposed DOE test procedure amendments, if 
finalized, would not increase testing burden on most CRAC manufacturers 
(i.e., CRAC manufacturers who are AHRI members), compared to current 
industry practice as indicated by AHRI 1360-202X Draft, and that those 
proposed amendments would not have a significant impact on the 
remaining CRAC manufacturers (i.e., CRAC manufacturers who are not AHRI 
members).

K. Reserved Appendices for Test Procedures for Commercial Air 
Conditioning and Heating Equipment

    In this document, DOE proposes to establish new test procedures for 
CRACs in the proposed appendix E and new appendix E1 to subpart F of 
part 431. This proposed organization of the test procedures would be 
consistent with the organization of the test procedures for other 
covered equipment and covered products. DOE has tentatively concluded 
that providing the test procedures for specific equipment in designated 
appendices would improve the readability of the test procedures. 
Accordingly, to provide for future consideration of a similar 
organization for other commercial package air conditioning and heating 
equipment test procedures, DOE is proposing to reserve appendices B 
through D. The reserved appendices are intended to facilitate any 
potential future reorganization of the regulations and are not an 
indication of substantive changes to test procedures for other 
commercial package air conditioning and heating equipment.

L. Compliance Date

    EPCA prescribes that, if DOE amends a test procedure, all 
representations of energy efficiency and energy use, including those 
made in the context of certification and on marketing materials

[[Page 6969]]

and product labels, must be made in accordance with that amended test 
procedure, beginning 360 days after publication of such a test 
procedure final rule in the Federal Register. (42 U.S.C. 6314(d)(1)) 
CRACs would not be required to be tested according to the test 
procedure in the proposed appendix E1 until such time as compliance is 
required with an amended energy conservation standard that relies on 
the NSenCOP metric, should DOE adopt such a standard.

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

    The Office of Management and Budget (OMB) has determined that this 
test procedure rulemaking does not constitute a ``significant 
regulatory action'' under section 3(f) of Executive Order 12866, 
``Regulatory Planning and Review,'' 58 FR 51735 (Oct. 4, 1993). 
Accordingly, this action was not subject to review under the Executive 
order by the Office of Information and Regulatory Affairs (OIRA) in 
OMB.

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of an initial regulatory flexibility analysis (IRFA) for 
any rule that by law must be proposed for public comment, unless the 
agency certifies that the rule, if promulgated, will not have a 
significant economic impact on a substantial number of small entities. 
As required by Executive Order 13272, ``Proper Consideration of Small 
Entities in Agency Rulemaking,'' 67 FR 53461 (August 16, 2002), DOE 
published procedures and policies on February 19, 2003, to ensure that 
the potential impacts of its rules on small entities are properly 
considered during the DOE rulemaking process. 68 FR 7990. DOE has made 
its procedures and policies available on the Office of the General 
Counsel's website: energy.gov/gc/office-general-counsel. DOE reviewed 
this proposed rule under the provisions of the Regulatory Flexibility 
Act and the policies and procedures published on February 19, 2003.
    The following sections detail DOE's IRFA for this test procedure 
rulemaking.
1. Description of Reasons Why Action Is Being Considered
    DOE is proposing to amend the existing DOE test procedures for 
CRACs to reflect updates to the relevant industry test standard, 
pursuant to the relevant statutory provisions of EPCA.
2. Objective of, and Legal Basis for, Rule
    EPCA, as amended, requires that the test procedures for commercial 
package air conditioning and heating equipment, which includes CRACs, 
be those generally accepted industry testing procedures or rating 
procedures developed or recognized by AHRI or by ASHRAE, as referenced 
in ASHRAE Standard 90.1. (42 U.S.C. 6314(a)(4)(A)) Further, if such an 
industry test procedure is amended, DOE must amend its test procedure 
to be consistent with the amended industry test procedure, unless DOE 
determines, by rule published in the Federal Register and supported by 
clear and convincing evidence, that such amended test procedure would 
not meet the requirements in 42 U.S.C. 6314(a)(2) and (3) related to 
representative use and test burden. (42 U.S.C. 6314(a)(4)(B))
    EPCA also requires that, at least once every 7 years, DOE must 
evaluate test procedures for each type of covered equipment, including 
CRACs, to determine whether amended test procedures would more 
accurately or fully comply with the requirements for the test 
procedures to not be unduly burdensome to conduct and be reasonably 
designed to produce test results that reflect energy efficiency, energy 
use, and estimated operating costs during a representative average use 
cycle. (42 U.S.C. 614(a)(1)(A))
    DOE is publishing this NOPR proposing amendments to the test 
procedure for CRACs in satisfaction of the aforementioned obligations 
under EPCA.
3. Description and Estimate of Small Entities Regulated
    DOE uses the Small Business Administration (SBA) small business 
size standards to determine whether manufacturers qualify as small 
businesses, which are listed by the North American Industry 
Classification System (NAICS).\33\ The SBA considers a business entity 
to be a small business, if, together with its affiliates, it employs 
less than a threshold number of workers specified in 13 CFR part 121.
---------------------------------------------------------------------------

    \33\ The size standards are listed by NAICS code and industry 
description and are available at: www.sba.gov/document/support-table-size-standards (Last accessed on August 30, 2021).
---------------------------------------------------------------------------

    CRAC manufacturers are classified under NAICS code 333415, ``Air-
Conditioning and Warm Air Heating Equipment and Commercial and 
Industrial Refrigeration Equipment Manufacturing.'' In 13 CFR 121.201, 
the SBA sets a threshold of 1,250 employees or fewer for an entity to 
be considered as a small business for this category. DOE utilized the 
California Energy Commission's Modernized Appliance Efficiency Database 
System (``MAEDbS'') \34\ and DOE's Compliance Certification Database 
(``CCD'') \35\ in identifying potential small businesses that 
manufacture CRACs covered by this rulemaking. DOE used subscription-
based business information tools (e.g., reports from Dun & Bradstreet 
\36\) to determine headcount and revenue of those small businesses. DOE 
identified nine companies that are original equipment manufacturers 
(OEMs) of CRACs covered by this rulemaking. DOE screened out companies 
that do not meet the definition of a ``small business'' or are foreign-
owned and operated. DOE identified three small, domestic OEMs for 
consideration. One small, domestic OEM is not an AHRI member, while the 
other two small, domestic OEMs are AHRI members.
---------------------------------------------------------------------------

    \34\ MAEDbS can be accessed at 
www.cacertappliances.energy.ca.gov/Pages/Search/AdvancedSearch.aspx 
(Last accessed August 30, 2021).
    \35\ Certified equipment in the CCD are listed by product class 
and can be accessed at www.regulations.doe.gov/certification-data/#q=Product_Group_s%3A* (Last accessed August 30, 2021).
    \36\ Market research available at: app.dnbhoovers.com (Last 
accessed August 30, 2021).
---------------------------------------------------------------------------

4. Description and Estimate of Compliance Requirements
    In this NOPR, DOE is proposing to relocate the current DOE test 
procedure to a new appendix E of subpart F of part 431 (``appendix E'') 
without change. DOE is also proposing an amended test procedure at 
appendix E1 to subpart F of part 431 (``appendix E1''). Specifically, 
DOE is proposing in appendix E1 to adopt the updated draft industry 
test standard AHRI 1360-202X Draft for CRACs. Additionally, this NOPR 
seeks to amend certain representation and enforcement provisions for 
CRACs in 10 CFR part 429.
    Appendix E does not contain any changes from the current Federal 
test procedure, and, therefore, would have no cost to industry and 
would not require retesting solely as a result of DOE's adoption of 
this proposed amendment to the test procedure, if made final.
    The proposed test procedure in appendix E1 includes amendments for 
measuring CRAC energy efficiency using the NSenCOP metric so as to be 
consistent with the updated draft industry test procedure. Should DOE 
adopt amended energy conservation standards in the future denominated 
in terms of NSenCOP, the Department

[[Page 6970]]

expects there would not be an increase in third-party lab testing costs 
per unit relative to the current Federal test procedure. DOE estimates 
such testing costs to be $10,200 per unit for physical testing. DOE has 
tentatively concluded that the proposed test procedure may require re-
rating of CRAC models; however, this would not be mandatory until such 
time as DOE amends the energy conservation standards for CRACs based on 
NSenCOP, should DOE adopt such amendments.
    If CRAC manufacturers conduct physical testing to certify a basic 
model, two units are required to be tested per basic model. However, 
manufacturers are not required to perform laboratory testing on all 
basic models, as CRAC manufacturers may elect to use AEDMs.\37\ An AEDM 
is a computer modeling or mathematical tool that predicts the 
performance of non-tested basic models. These computer modeling and 
mathematical tools, when properly developed, can provide a means to 
predict the energy usage or efficiency characteristics of a basic model 
of a given covered product or equipment and reduce the burden and cost 
associated with testing.
---------------------------------------------------------------------------

    \37\ In accordance with 10 CFR 429.70.
---------------------------------------------------------------------------

    Small businesses would be expected to have different potential 
regulatory costs depending on whether they are a member of AHRI. DOE 
understands that all AHRI members and all manufacturers currently 
certifying to the AHRI Directory will be testing their CRAC models in 
accordance with the final version of AHRI 1360-202X Draft, the industry 
test procedure DOE is proposing to incorporate by reference (if 
finalized and consistent with AHRI 1360-202X Draft), and using AHRI's 
certification program, which has already been updated to include the 
NSenCOP metric.
    The proposed test procedure amendments would not add any additional 
testing burden to manufacturers which are members of AHRI, as those 
members currently are or soon will be using the finalized version of 
the AHRI 1360-202X draft test procedure. If DOE were to adopt energy 
conservation standards denominated in terms of the NSenCOP metric, the 
proposed test procedure amendments may, however, result in re-rating 
costs for manufacturers which are not AHRI members (currently one 
identified OEM).
    DOE estimated the range of additional potential testing costs for 
the single small CRAC manufacturer which is not an AHRI member. This 
small business would only incur additional testing costs if they would 
not already be using the finalized version of the AHRI 1360-202X Draft 
to test their CRAC models. DOE estimates that this small business 
manufactures 113 basic models.
    When developing cost estimates for this single, non-AHRI-member 
small business, DOE considered the cost to develop an AEDM, the costs 
to validate the AEDM through physical testing, and the cost per model 
to determine ratings using the AEDM. The Department anticipates that 
this small OEM would avail itself of the cost-saving option which the 
AEDM provides. DOE estimated the cost to develop and validate an AEDM 
for CRACs to be approximately $46,000, which includes physical testing 
of two models per validation class. Additionally, DOE estimated a cost 
of approximately $50 per basic model for determining energy efficiency 
using the validated AEDM. The estimated cost to rate the 113 basic 
models with the AEDM would be $5,650. Therefore, should DOE adopt 
amended energy conservation standards in the future denominated in 
terms of NSenCOP as the efficiency metric, this small business could 
incur total testing and rating costs of $51,650.
    DOE understands the annual revenue of this small business to be 
approximately $17 million. Therefore, testing and AEDM costs could 
cause this small business manufacturer to incur costs of up to 0.30 
percent of its annual revenue.
    Issue 9: DOE requests comment on the number of small businesses DOE 
identified. DOE also seeks comment on the potential costs for the small 
business that is not an AHRI member and manufactures CRACs
5. Duplication, Overlap, and Conflict With Other Rules and Regulations
    DOE is not aware of any rules or regulations that duplicate, 
overlap, or conflict with the rule being considered in this document.
6. Significant Alternatives to the Rule
    DOE proposes to reduce burden on manufacturers, including small 
businesses, by allowing AEDMs in lieu of physically testing all basic 
models. The use of an AEDM is less costly than physical testing CRAC 
models. Without AEDMs, the average cost to rate all basic models for 
the small CRAC manufacturer (non-AHRI member) would be $1,152,600.
    Additionally, DOE considered alternative test methods and 
modifications to the AHRI 1360-202X Draft test procedure for CRACs. 
However, DOE has tentatively determined that there are no better 
alternatives than the existing industry test procedures, in terms of 
both meeting the agency's objectives and reducing burden on 
manufacturers. Therefore, DOE is proposing to amend the existing DOE 
test procedure for CRACs through adoption of the substance of AHRI 
1360-202X Draft. DOE intends to update the reference to the final 
published version of AHRI 1360-202X Draft in the final rule, unless 
there are substantive changes between the draft and published versions, 
in which case DOE may adopt the substance of the AHRI 1360-202X Draft 
or provide additional opportunity for comment on the changes to the 
industry consensus test procedure.
    Manufacturers subject to DOE's energy efficiency standards may 
apply to DOE's Office of Hearings and Appeals for exception relief 
under certain circumstances. Manufacturers should refer to 10 CFR part 
1003 for additional details.

C. Review Under the Paperwork Reduction Act of 1995

    Manufacturers of CRACs must certify to DOE that their products 
comply with any applicable energy conservation standards. To certify 
compliance, manufacturers must first obtain test data for their 
products according to the DOE test procedures, including any amendments 
adopted for those test procedures. DOE has established regulations for 
the certification and recordkeeping requirements for all covered 
consumer products and commercial equipment, including commercial 
package air condition and heating equipment. (See generally 10 CFR part 
429.) The collection-of-information requirement for the certification 
and recordkeeping is subject to review and approval by OMB under the 
Paperwork Reduction Act (PRA). This requirement has been approved by 
OMB under OMB control number 1910-1400. Public reporting burden for the 
certification is estimated to average 35 hours per response, including 
the time for reviewing instructions, searching existing data sources, 
gathering and maintaining the data needed, and completing and reviewing 
the collection of information.
    Notwithstanding any other provision of the law, no person is 
required to respond to, nor shall any person be subject to a penalty 
for failure to comply with, a collection of information subject to the 
requirements of the PRA, unless that collection of information displays 
a currently valid OMB Control Number.

[[Page 6971]]

D. Review Under the National Environmental Policy Act of 1969

    DOE is analyzing this proposed regulation in accordance with the 
National Environmental Policy Act of 1969 (NEPA) and DOE's NEPA 
implementing regulations (10 CFR part 1021). DOE's regulations include 
a categorical exclusion for rulemakings interpreting or amending an 
existing rule or regulation that does not change the environmental 
effect of the rule or regulation being amended. 10 CFR part 1021, 
subpart D, appendix A5. DOE anticipates that this rulemaking qualifies 
for categorical exclusion A5 because it is an interpretive rulemaking 
that does not change the environmental effect of the rule and otherwise 
meets the requirements for application of a categorical exclusion. See 
10 CFR 1021.410. DOE will complete its NEPA review before issuing the 
final rule.

E. Review Under Executive Order 13132

    Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 10, 
1999), imposes certain requirements for agencies formulating and 
implementing policies or regulations that preempt State law or that 
have federalism implications. The Executive order requires agencies to 
examine the constitutional and statutory authority supporting any 
action that would limit the policymaking discretion of the States and 
to carefully assess the necessity for such actions. The Executive order 
also requires agencies to have an accountable process to ensure 
meaningful and timely input by State and local officials in the 
development of regulatory policies that have federalism implications. 
On March 14, 2000, DOE published a statement of policy describing the 
intergovernmental consultation process it will follow in the 
development of such regulations. 65 FR 13735. DOE has examined this 
proposed rule and has determined that it would not have a substantial 
direct effect on the States, on the relationship between the national 
government and the States, or on the distribution of power and 
responsibilities among the various levels of government. EPCA governs 
and prescribes Federal preemption of State regulations as to energy 
conservation for the products that are the subject of this proposed 
rule. States can petition DOE for exemption from such preemption to the 
extent, and based on criteria, set forth in EPCA. (42 U.S.C. 6297(d)) 
No further action is required by Executive Order 13132.

F. Review Under Executive Order 12988

    Regarding the review of existing regulations and the promulgation 
of new regulations, section 3(a) of Executive Order 12988, ``Civil 
Justice Reform,'' 61 FR 4729 (Feb. 7, 1996), imposes on Federal 
agencies the general duty to adhere to the following requirements: (1) 
Eliminate drafting errors and ambiguity; (2) write regulations to 
minimize litigation; (3) provide a clear legal standard for affected 
conduct rather than a general standard, and (4) promote simplification 
and burden reduction. Section 3(b) of Executive Order 12988 
specifically requires that executive agencies make every reasonable 
effort to ensure that the regulation: (1) Clearly specifies the 
preemptive effect, if any; (2) clearly specifies any effect on existing 
Federal law or regulation; (3) provides a clear legal standard for 
affected conduct while promoting simplification and burden reduction; 
(4) specifies the retroactive effect, if any; (5) adequately defines 
key terms, and (6) addresses other important issues affecting clarity 
and general draftsmanship under any guidelines issued by the Attorney 
General. Section 3(c) of Executive Order 12988 requires Executive 
agencies to review regulations in light of applicable standards in 
sections 3(a) and 3(b) to determine whether they are met or it is 
unreasonable to meet one or more of them. DOE has completed the 
required review and determined that, to the extent permitted by law, 
the proposed rule meets the relevant standards of Executive Order 
12988.

G. Review Under the Unfunded Mandates Reform Act of 1995

    Title II of the Unfunded Mandates Reform Act of 1995 (UMRA) 
requires each Federal agency to assess the effects of Federal 
regulatory actions on State, local, and Tribal governments and the 
private sector. Public Law 104-4, sec. 201 (codified at 2 U.S.C. 1531). 
For a proposed regulatory action likely to result in a rule that may 
cause the expenditure by State, local, and Tribal governments, in the 
aggregate, or by the private sector of $100 million or more in any one 
year (adjusted annually for inflation), section 202 of UMRA requires a 
Federal agency to publish a written statement that estimates the 
resulting costs, benefits, and other effects on the national economy. 
(2 U.S.C. 1532(a), (b)) The UMRA also requires a Federal agency to 
develop an effective process to permit timely input by elected officers 
of State, local, and Tribal governments on a proposed ``significant 
intergovernmental mandate,'' and requires an agency plan for giving 
notice and opportunity for timely input to potentially affected small 
governments before establishing any requirements that might 
significantly or uniquely affect small governments. On March 18, 1997, 
DOE published a statement of policy on its process for 
intergovernmental consultation under UMRA. 62 FR 12820; also available 
at energy.gov/gc/office-general-counsel. DOE examined this proposed 
rule according to UMRA and its statement of policy and determined that 
the rule contains neither an intergovernmental mandate, nor a mandate 
that may result in the expenditure of $100 million or more in any year, 
so these requirements do not apply.

H. Review Under the Treasury and General Government Appropriations Act, 
1999

    Section 654 of the Treasury and General Government Appropriations 
Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family 
Policymaking Assessment for any rule that may affect family well-being. 
This proposed rule would not have any impact on the autonomy or 
integrity of the family as an institution. Accordingly, DOE has 
concluded that it is not necessary to prepare a Family Policymaking 
Assessment.

I. Review Under Executive Order 12630

    DOE has determined, under Executive Order 12630, ``Governmental 
Actions and Interference with Constitutionally Protected Property 
Rights,'' 53 FR 8859 (March 18, 1988), that this regulation would not 
result in any takings that might require compensation under the Fifth 
Amendment to the U.S. Constitution.

J. Review Under Treasury and General Government Appropriations Act, 
2001

    Section 515 of the Treasury and General Government Appropriations 
Act, 2001 (44 U.S.C. 3516 note) provides for agencies to review most 
disseminations of information to the public under guidelines 
established by each agency pursuant to general guidelines issued by 
OMB. OMB's guidelines were published at 67 FR 8452 (Feb. 22, 2002), and 
DOE's guidelines were published at 67 FR 62446 (Oct. 7, 2002). DOE has 
reviewed this proposed rule under the OMB and DOE guidelines and has 
concluded that it is consistent with applicable policies in those 
guidelines.

K. Review Under Executive Order 13211

    Executive Order 13211, ``Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 
(May 22, 2001), requires Federal agencies to prepare and submit to OMB, 
a

[[Page 6972]]

Statement of Energy Effects for any proposed significant energy action. 
A ``significant energy action'' is defined as any action by an agency 
that promulgated or is expected to lead to promulgation of a final 
rule, and that: (1) Is a significant regulatory action under Executive 
Order 12866, or any successor order; and (2) is likely to have a 
significant adverse effect on the supply, distribution, or use of 
energy; or (3) is designated by the Administrator of OIRA as a 
significant energy action. For any proposed significant energy action, 
the agency must give a detailed statement of any adverse effects on 
energy supply, distribution, or use should the proposal be implemented, 
and of reasonable alternatives to the action and their expected 
benefits on energy supply, distribution, and use.
    The proposed regulatory action to amend the test procedure for 
measuring the energy efficiency of CRACs is not a significant 
regulatory action under Executive Order 12866. Moreover, it would not 
have a significant adverse effect on the supply, distribution, or use 
of energy, nor has it been designated as a significant energy action by 
the Administrator of OIRA. Therefore, it is not a significant energy 
action, and, accordingly, DOE has not prepared a Statement of Energy 
Effects.

L. Review Under Section 32 of the Federal Energy Administration Act of 
1974

    Under section 301 of the Department of Energy Organization Act 
(Pub. L. 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of the 
Federal Energy Administration Act of 1974, as amended by the Federal 
Energy Administration Authorization Act of 1977. (15 U.S.C. 788; FEAA) 
Section 32 essentially provides in relevant part that, where a proposed 
rule authorizes or requires use of commercial standards, the notice of 
proposed rulemaking must inform the public of the use and background of 
such standards. In addition, section 32(c) requires DOE to consult with 
the Attorney General and the Chairman of the Federal Trade Commission 
(FTC) concerning the impact of the commercial or industry standards on 
competition.
    The proposed amendments to the Federal test procedure for CRACs are 
primarily in response to modifications to the applicable industry 
consensus test standards (i.e., AHRI 1360-202X Draft, ANSI/ASHRAE 37-
2009, and ANSI/ASHRAE 127-2020). DOE has evaluated these standards and 
is unable to conclude whether they fully comply with the requirements 
of section 32(b) of the FEAA (i.e., whether they were developed in a 
manner that fully provides for public participation, comment, and 
review). DOE will consult with both the Attorney General and the 
Chairman of the FTC concerning the impact of these test procedures on 
competition, prior to prescribing a final rule.

M. Description of Materials Incorporated by Reference

    In this NOPR, DOE proposes to incorporate by reference the 
following test standards:

    (1) The draft test standard provided by AHRI, titled 
``Performance Rating of Computer and Data Processing Room Air 
Conditioners (``Draft Standard'') AHRI Standard 1360-202X Draft. 
AHRI Standard 1360-202X Draft is a draft industry test procedure for 
measuring the performance of CRACs. AHRI Standard 1360-202X Draft is 
in draft form and its text was provided to the Department for the 
purposes of review only during the drafting of this NOPR. AHRI 1360-
202X Draft has been attached in this docket for review. DOE intends 
to update the reference to the final published version of AHRI 1360-
202X Draft in the Final Rule, unless there are substantive changes 
between the draft and published versions, in which case DOE may 
adopt the substance of the AHRI 1360-202X Draft or provide 
additional opportunity for comment on the changes to the industry 
consensus test procedure.
    (2) The test standard published by ASHRAE, titled ``Method of 
Testing for Rating Computer and Data Processing Room Unitary Air 
Conditioners,'' ANSI/ASHRAE Standard 127-2020. ANSI/ASHRAE Standard 
127-2020 is an industry-accepted test procedure for measuring the 
performance of CRACs. ANSI/ASHRAE Standard 127-2020 is available on 
ANSI's website at webstore.ansi.org/standards/ashrae/ansiashrae1272020.
    (3) The test standard published by ASHRAE, titled ``Methods of 
Testing for Rating Electrically Driven Unitary Air-Conditioning and 
Heat Pump Equipment,'' ANSI/ASHRAE Standard 37-2009. ANSI/ASHRAE 
Standard 37-2009 is an industry-accepted test procedure that 
provides a method of test for many categories of air conditioning 
and heating equipment. ANSI/ASHRAE Standard 37-2009 is available on 
ANSI's website at webstore.ansi.org/RecordDetail.aspx?sku=ANSI%2FASHRAE+Standard+37-2009.
    (4) The test standard published by ASHRAE, titled ``Method of 
Testing for Rating Computer and Data Processing Room Unitary Air 
Conditioners,'' ANSI/ASHRAE Standard 127-2007. ANSI/ASHRAE Standard 
127-2007 is an industry-accepted test procedure for measuring the 
performance of CRACs. ANSI/ASHRAE Standard 127-2007 is available on 
ANSI's website at https://webstore.ansi.org/standards/ashrae/ansiashrae1272007.

    The following standards were previously approved for incorporation 
by reference in the section where they appear and no change is 
proposed: AHRI 210/240-2008, AHRI 340/360-2007, ISO Standard 13256-1, 
AHRI 1230-2010, AHRI 390-2003.

V. Public Participation

A. Participation in the Webinar

    The time and date of the webinar are listed in the DATES section at 
the beginning of this document. Webinar registration information, 
participant instructions, and information about the capabilities 
available to webinar participants will be published on DOE's website: 
www.energy.gov/eere/buildings/public-meetings-and-comment-deadlines. 
Participants are responsible for ensuring their systems are compatible 
with the webinar software.

B. Procedures for Submitting Prepared General Statements for 
Distribution

    Any person who has an interest in the topics addressed in this 
proposed rulemaking, or who is representative of a group or class of 
persons that has an interest in these issues, may request an 
opportunity to make an oral presentation at the webinar/public meeting. 
Such persons may submit requests to speak via email to the Appliance 
and Equipment Standards Program at: 
[email protected]. Persons who wish to speak 
should include with their request a computer file in WordPerfect, 
Microsoft Word, PDF, or text (ASCII) file format that briefly describes 
the nature of their interest in this rulemaking and the topics they 
wish to discuss. Such persons should also provide a daytime telephone 
number where they can be reached.
    DOE requests persons selected to make an oral presentation to 
submit an advance copy of their statements at least two weeks before 
the webinar/public meeting. At its discretion, DOE may permit persons 
who cannot supply an advance copy of their statement to participate, if 
those persons have made advance alternative arrangements with the 
Building Technologies Office. As necessary, requests to give an oral 
presentation should ask for such alternative arrangements.

C. Conduct of the Webinar

    DOE will designate a DOE official to preside at the webinar and may 
also use a professional facilitator to aid discussion. The meeting will 
not be a judicial or evidentiary-type public hearing, but DOE will 
conduct it in accordance with section 336 of EPCA (42 U.S.C. 6306). A 
court reporter will be present to record the proceedings and to prepare 
a transcript. DOE reserves the

[[Page 6973]]

right to schedule the order of presentations and to establish the 
procedures governing the conduct of the webinar/public meeting. There 
shall not be discussion of proprietary information, costs or prices, 
market share, or other commercial matters regulated by U.S. anti-trust 
laws. After the webinar and until the end of the comment period, 
interested parties may submit further comments on the proceedings and 
any aspect of the rulemaking.
    The webinar will be conducted in an informal, conference style. DOE 
will present a summary of the proposals, allow time for prepared 
general statements by participants, and encourage all interested 
parties to share their views on issues affecting this rulemaking. Each 
participant will be allowed to make a general statement (within time 
limits determined by DOE), before the discussion of specific topics. 
DOE will allow, as time permits, other participants to comment briefly 
on any general statements.
    At the end of all prepared statements on a topic, DOE will permit 
participants to clarify their statements briefly and comment on 
statements made by others. Participants should be prepared to answer 
questions by DOE and by other participants concerning these issues. DOE 
representatives may also ask questions of participants concerning other 
matters relevant to this rulemaking. The official conducting the 
webinar will accept additional comments or questions from those 
attending, as time permits. The presiding official will announce any 
further procedural rules or modification of the above procedures that 
may be needed for the proper conduct of the webinar.
    A transcript of the webinar will be included in the docket, which 
can be viewed as described in the Docket section at the beginning of 
this NOPR. In addition, any person may buy a copy of the transcript 
from the transcribing reporter.

D. Submission of Comments

    DOE will accept comments, data, and information regarding this 
proposed rule no later than the date provided in the DATES section at 
the beginning of this proposed rule. Interested parties may submit 
comments using any of the methods described in the ADDRESSES section at 
the beginning of this document.
    Submitting comments via www.regulations.gov. The 
www.regulations.gov web page will require you to provide your name and 
contact information. Your contact information will be viewable to DOE 
Building Technologies staff only. Your contact information will not be 
publicly viewable except for your first and last names, organization 
name (if any), and submitter representative name (if any). If your 
comment is not processed properly because of technical difficulties, 
DOE will use this information to contact you. If DOE cannot read your 
comment due to technical difficulties and cannot contact you for 
clarification, DOE may not be able to consider your comment.
    However, your contact information will be publicly viewable if you 
include it in the comment or in any documents attached to your comment. 
Any information that you do not want to be publicly viewable should not 
be included in your comment, nor in any document attached to your 
comment. Persons viewing comments will see only first and last names, 
organization names, correspondence containing comments, and any 
documents submitted with the comments.
    Do not submit to www.regulations.gov information for which 
disclosure is restricted by statute, such as trade secrets and 
commercial or financial information (hereinafter referred to as 
Confidential Business Information (CBI). Comments submitted through 
www.regulations.gov cannot be claimed as CBI. Comments received through 
the website will waive any CBI claims for the information submitted. 
For information on submitting CBI, see the Confidential Business 
Information section.
    DOE processes submissions made through www.regulations.gov before 
posting. Normally, comments will be posted within a few days of being 
submitted. However, if large volumes of comments are being processed 
simultaneously, your comment may not be viewable for up to several 
weeks. Please keep the comment tracking number that www.regulations.gov 
provides after you have successfully uploaded your comment.
    Submitting comments via email. Comments and documents submitted via 
email also will be posted to www.regulations.gov. If you do not want 
your personal contact information to be publicly viewable, do not 
include it in your comment or any accompanying documents. Instead, 
provide your contact information in a cover letter. Include your first 
and last names, email address, telephone number, and optional mailing 
address. The cover letter will not be publicly viewable as long as it 
does not include any comments.
    Include contact information each time you submit comments, data, 
documents, and other information to DOE. No telefacsimiles (faxes) will 
be accepted.
    Comments, data, and other information submitted to DOE 
electronically should be provided in PDF (preferred), Microsoft Word or 
Excel, WordPerfect, or text (ASCII) file format. Provide documents that 
are not secured, written in English, and free of any defects or 
viruses. Documents should not contain special characters or any form of 
encryption, and, if possible, they should carry the electronic 
signature of the author.
    Campaign form letters. Please submit campaign form letters by the 
originating organization in batches of between 50 to 500 form letters 
per PDF or as one form letter with a list of supporters' names compiled 
into one or more PDFs. This reduces comment processing and posting 
time.
    Confidential Business Information. Pursuant to 10 CFR 1004.11, any 
person submitting information that he or she believes to be 
confidential and exempt by law from public disclosure should submit via 
email two well-marked copies: One copy of the document marked 
``confidential'' including all the information believed to be 
confidential, and one copy of the document marked ``non-confidential'' 
with the information believed to be confidential deleted. DOE will make 
its own determination about the confidential status of the information 
and treat it according to its determination.
    It is DOE's policy that all comments may be included in the public 
docket, without change and as received, including any personal 
information provided in the comments (except information deemed to be 
exempt from public disclosure).

E. Issues on Which DOE Seeks Comment

    Although DOE welcomes comments on any aspect of this proposal, DOE 
is particularly interested in receiving comments and views of 
interested parties concerning the following issues:
    Issue 1: DOE requests comment on the proposed definition for 
``computer room air conditioner'' that distinguishes between CRACs and 
other categories of air conditioning equipment, based on the marketing 
of the equipment.
    Issue 2: DOE requests comment on its proposal to define the 
following terms, consistent with AHRI 1360-202X Draft: Floor-mounted, 
ceiling-mounted, wall-mounted, roof-mounted, up-flow, down-flow, 
horizontal flow, up-flow ducted, up-flow non-ducted, ceiling-mounted 
ducted, ceiling-mounted non-ducted, and fluid economizer.

[[Page 6974]]

    Issue 3: DOE requests comment on its proposal to adopt the NSenCOP 
metric for CRACs as part of the proposed test procedure in appendix E1, 
which would be used only if DOE were to prescribe energy conservation 
standards denominated in terms of NSenCOP in a future rulemaking. 
Additionally, DOE seeks feedback on whether the rating conditions in 
AHRI 1360-202X Draft are appropriately representative of field 
applications.
    Issue 4: DOE seeks comment on its proposals regarding specific 
components in 10 CFR part 431, subpart F, appendix E1, 10 CFR 429.43, 
and 10 CFR 429.134.
    Issue 5: DOE requests comment on its proposal to adopt the methods 
for comparing relative efficiency of standard and non-standard indoor 
fan motors and integrated fan and motor combinations specified in 
Section D3 of AHRI 1360-202X Draft in the proposed test procedure in 10 
CFR part 431, subpart F, appendix E1, as well as in provisions for 
determination of represented values in 10 CFR 429.43(a) and provisions 
for DOE assessment and enforcement testing in 10 CFR 429.134.
    Issue 6: DOE requests comment on its proposal regarding 
representations for CRAC basic models approved for use with multiple 
refrigerants.
    Issue 7: DOE requests comment on its proposals related to 
represented values and verification testing of NSCC for CRACs.
    Issue 8: DOE requests comment on its understanding of the impact of 
the test procedure proposals in this NOPR, specifically DOE's initial 
conclusion that the proposed DOE test procedure amendments, if 
finalized, would not increase testing burden on most CRAC manufacturers 
(i.e., CRAC manufacturers who are AHRI members), compared to current 
industry practice as indicated by AHRI 1360-202X Draft, and that those 
proposed amendments would not have a significant impact on the 
remaining CRAC manufacturers (i.e., CRAC manufacturers who are not AHRI 
members).
    Issue 9: DOE requests comment on the number of small businesses DOE 
identified. DOE also seeks comment on the potential costs for the small 
business that is not an AHRI member and manufactures CRACs.

VI. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of this notice of 
proposed rulemaking and request for comment.

List of Subjects

10 CFR Part 429

    Administrative practice and procedure, Confidential business 
information, Energy conservation, Household appliances, Imports, 
Incorporation by reference, Intergovernmental relations, Reporting and 
recordkeeping requirements, Small businesses.

10 CFR Part 431

    Administrative practice and procedure, Confidential business 
information, Energy conservation, Incorporation by reference, Reporting 
and recordkeeping requirements.

Signing Authority

    This document of the Department of Energy was signed on January 28, 
2022, by Kelly J. Speakes-Backman, Principal Deputy Assistant Secretary 
for Energy Efficiency and Renewable Energy, pursuant to delegated 
authority from the Secretary of Energy. That document with the original 
signature and date is maintained by DOE. For administrative purposes 
only, and in compliance with requirements of the Office of the Federal 
Register, the undersigned DOE Federal Register Liaison Officer has been 
authorized to sign and submit the document in electronic format for 
publication, as an official document of the Department of Energy. This 
administrative process in no way alters the legal effect of this 
document upon publication in the Federal Register.

    Signed in Washington, DC, on January 31, 2022.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.

    For the reasons stated in the preamble, DOE is proposing to amend 
parts 429 and 431 of Chapter II of Title 10, Code of Federal 
Regulations as set forth below:

PART 429--CERTIFICATION, COMPLIANCE, AND ENFORCEMENT FOR CONSUMER 
PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENT

0
1. The authority citation for part 429 continues to read as follows:

    Authority:  42 U.S.C. 6291-6317; 28 U.S.C. 2461 note.

0
2. Amend Sec.  429.4 by revising paragraph (a) and redesignating 
paragraph (c)(2) as (c)(3), and adding new paragraph (c)(2) to read as 
follows:


Sec.  429.4   Materials incorporated by reference.

    (a) Certain material is incorporated by reference into this subpart 
with the approval of the Director of the Federal Register in accordance 
with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other 
than that specified in this section, DOE must publish a document in the 
Federal Register and the material must be available to the public. All 
approved material is available for inspection at the U.S. Department of 
Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Program, Sixth Floor, 950 L'Enfant Plaza SW, Washington, 
DC 20024, (202) 586-9127, [email protected], www.energy.gov/eere/buildings/building-technologies-office, and may be obtained from the 
other sources in this section. Also, this material is available for 
inspection at the National Archives and Records Administration (NARA). 
For information on the availability of this material at NARA, email: 
[email protected], or go to: www.archives.gov/federal-register/cfr/ibr-locations.html.
* * * * *
    (c) * * *
    (2) AHRI Standard 1360-202X Draft, (``AHRI 1360-202X Draft''), 
Performance Rating of Computer and Data Processing Room Air 
Conditioners, IBR approved for Sec.  429.43.
* * * * *
0
3. Amend Sec.  429.43 by adding paragraphs (a)(3) and (4) to read as 
follows.


Sec.  429.43   Commercial heating, ventilating, air conditioning (HVAC) 
equipment.

    (a) * * *
    (3) Product-specific provisions for determination of represented 
values.
    (i)-(iv) [Reserved]
    (v) Computer room air conditioners. When certifying to standards in 
terms of NSenCOP, the following provisions apply.
    (A) If a basic model is distributed in commerce and approved for 
use with multiple refrigerants, a manufacturer must determine all 
represented values for that basic model (e.g., NSenCOP and net sensible 
cooling capacity) based on the refrigerant that results in the lowest 
cooling efficiency. A refrigerant is considered approved for use if it 
is listed on the nameplate of the outdoor unit. Per the definition of 
``basic model'' in Sec.  431.92, use of a refrigerant that requires 
different hardware (i.e., compressors, heat exchangers, or air moving 
systems that are not the same or comparably performing), would 
represent a different basic model, and

[[Page 6975]]

separate representations would be required for each basic model.
    (B) The represented value of net sensible cooling capacity must be 
between 95 percent and 100 percent of the mean of the capacities 
measured for the units in the sample selected as described in paragraph 
(a)(1)(ii) of this section, or between 95 percent and 100 percent of 
the net sensible cooling capacity output simulated by the AEDM as 
described in paragraph (a)(2) of this section.
    (4) Determination of represented values for individual models with 
specific components for computer room air conditioners.
    (i) If a manufacturer distributes in commerce individual models 
with one of the components listed in the following table, determination 
of represented values is dependent on the selected grouping of 
individual models into a basic model, as indicated in paragraphs 
(a)(4)(ii) through (v) of this section. For the purposes of this 
paragraph, ``otherwise identical'' means differing only in the presence 
of specific components listed in table 1 to this paragraph (a)(4)(i).

                     Table 1 to Paragraph (a)(4)(i)
------------------------------------------------------------------------
             Component                           Description
------------------------------------------------------------------------
Air Economizers...................  An automatic system that enables a
                                     cooling system to supply and use
                                     outdoor air to reduce or eliminate
                                     the need for mechanical cooling
                                     during mild or cold weather.
Process Heat Recovery/Reclaim       A heat exchanger located inside the
 Coils/Thermal Storage.              unit that conditions the
                                     equipment's supply air using energy
                                     transferred from an external source
                                     using a vapor, gas, or liquid.
Evaporative Pre-cooling of Air-     Water is evaporated into the air
 cooled Condenser Intake Air.        entering the air-cooled condenser
                                     to lower the dry-bulb temperature
                                     and thereby increase efficiency of
                                     the refrigeration cycle.
Steam/Hydronic Heat Coils.........  Coils used to provide supplemental
                                     heat.
Refrigerant Reheat Coils..........  A heat exchanger located downstream
                                     of the indoor coil that heats the
                                     supply air during cooling operation
                                     using high pressure refrigerant in
                                     order to increase the ratio of
                                     moisture removal to cooling
                                     capacity provided by the equipment.
Powered Exhaust/Powered Return Air  A powered exhaust fan is a fan that
 Fans.                               transfers directly to the outside a
                                     portion of the building air that is
                                     returning to the unit, rather than
                                     allowing it to recirculate to the
                                     indoor coil and back to the
                                     building. A powered return air fan
                                     is a fan that draws building air
                                     into the equipment.
Compressor Variable Frequency       A device connected electrically
 Drive (VFD).                        between the equipment's power
                                     supply connection and the
                                     compressor that can vary the
                                     frequency of power supplied to the
                                     compressor in order to allow
                                     variation of the compressor's
                                     rotational speed. If the
                                     manufacturer chooses to make
                                     representations for performance at
                                     part-load and/or low-ambient
                                     conditions (e.g., using the
                                     iNSenCOP metric), compressor VFDs
                                     must be treated consistently for
                                     all cooling capacity tests for the
                                     basic model (i.e., if the
                                     compressor VFD is installed and
                                     active for the part-load and/or low-
                                     ambient tests, it must also be
                                     installed and active for the
                                     NSenCOP test).
Fire/Smoke/Isolation Dampers......  A damper assembly including means to
                                     open and close the damper mounted
                                     at the supply or return duct
                                     opening of the equipment.
Non-Standard Indoor Fan Motors....  The standard indoor fan motor is the
                                     motor specified in the
                                     manufacturer's installation
                                     instructions for testing and shall
                                     be distributed in commerce as part
                                     of a particular model. A non-
                                     standard motor is an indoor fan
                                     motor that is not the standard
                                     indoor fan motor and that is
                                     distributed in commerce as part of
                                     an individual model within the same
                                     basic model.
                                    For a non-standard indoor fan
                                     motor(s) to be considered a
                                     specific component for a basic
                                     model (and thus subject to the
                                     provisions of paragraph
                                     (a)(3)(v)(A)-(B) of this section),
                                     the following provisions must be
                                     met:
                                       (1) Non-standard indoor fan
                                        motor(s) must meet the minimum
                                        allowable efficiency determined
                                        per Section D.3.1 of AHRI 1360-
                                        202X Draft (incorporated by
                                        reference, see Sec.   429.4)
                                        (i.e., for non-standard indoor
                                        fan motors) or per Section D.3.2
                                        of AHRI 1360-202X Draft for non-
                                        standard indoor integrated fan
                                        and motor combinations).
                                    If the standard indoor fan motor can
                                     vary fan speed through control
                                     system adjustment of motor speed,
                                     all non-standard indoor fan motors
                                     must also allow speed control
                                     (including with the use of VFD).
Humidifiers.......................  A device placed in the supply air
                                     stream for moisture evaporation and
                                     distribution. The device may
                                     require building steam or water,
                                     hot water, electricity, or gas to
                                     operate.
Flooded Condenser Head Pressure     An assembly, including a receiver
 Controls.                           and head pressure control valve,
                                     used to allow for unit operation at
                                     lower outdoor ambient temperatures
                                     than the standard operating control
                                     system.
Chilled Water Dual Cooling Coils..  A secondary chilled water coil added
                                     in the indoor air stream for use as
                                     the primary or secondary cooling
                                     circuit in conjunction with a
                                     separate chiller.
Condensate Pump...................  A device used to pump condensate and/
                                     or humidifier drain water from
                                     inside the unit to a customer drain
                                     outside the unit.
------------------------------------------------------------------------

    (ii) If a basic model includes only individual models distributed 
in commerce without a specific component listed in paragraph (4)(i) of 
this section, the manufacturer must determine represented values for 
the basic model based on performance of an individual model distributed 
in commerce without the component.
    (iii) If a basic model includes only individual models distributed 
in commerce with a specific component listed in paragraph (4)(i) of 
this section, the manufacturer must determine represented values for 
the basic model based on performance of an individual model with the 
component present (and consistent with any component-specific test 
provisions specified in section 4 of appendix E1 to subpart F of part 
431 of this chapter).
    (iv) If a basic model includes both individual models distributed 
in commerce with a specific component listed in paragraph (4)(i) of 
this section and individual models distributed in commerce without that 
specific component, and none of the individual models distributed in 
commerce without the specific component are otherwise identical to any 
given individual model distributed in commerce with the specific 
component, the manufacturer must consider the performance of individual 
models with the component present when

[[Page 6976]]

determining represented values for the basic model (and consistent with 
any component-specific test provisions specified in section 4 of 
appendix E1 to subpart F of part 431 of this chapter).
    (v) If a basic model includes both individual models distributed in 
commerce with a specific component listed in paragraph (4)(i) of this 
section and individual models distributed in commerce without that 
specific component, and at least one of the individual models 
distributed in commerce without the specific component is otherwise 
identical to any given individual model distributed in commerce with 
the specific component, the manufacturer may determine represented 
values for the basic model either:
    (A) Based on performance of an individual model distributed in 
commerce without the specific component or
    (B) based on performance of an individual model with the specific 
component present (and consistent with any component-specific test 
provisions specified in section 4 of appendix E1 to subpart F of part 
431 of this chapter).
    (vi) In any of the cases specified in paragraphs (a)(4)(ii) through 
(v) of this section, the represented values for a basic model must be 
determined through either testing (paragraph (a)(1) of this section) or 
an AEDM (paragraph (a)(2) of this section).
0
4. Amend Sec.  429.70 by revising the table in paragraph (c)(2)(iv) to 
read as follows:


Sec.  429.70   Alternative methods for determining energy efficiency 
and energy use.

* * * * *
    (c) * * *
    (2) * * *
    (iv) * * *

                                         Table 1 to Paragraph (c)(2)(iv)
----------------------------------------------------------------------------------------------------------------
                                                           Minimum number of distinct models that must be tested
                     Validation class                                             per AEDM
----------------------------------------------------------------------------------------------------------------
Air-Cooled, Split and Packaged Air Conditioners (ACs) and  2 Basic Models.
 Heat Pumps (HPs) less than 65,000 Btu/h Cooling Capacity
 (3-Phase).
----------------------------------------------------------------------------------------------------------------
                                     (A) Commercial HVAC validation classes
----------------------------------------------------------------------------------------------------------------
Air-Cooled, Split and Packaged ACs and HPs greater than    2 Basic Models.
 or equal to 65,000 Btu/h Cooling Capacity and Less than
 760,000 Btu/h Cooling Capacity.
Water-Cooled, Split and Packaged ACs and HPs, All Cooling  2 Basic Models.
 Capacities.
Evaporatively-Cooled, Split and Packaged ACs and HPs, All  2 Basic Models.
 Capacities.
Water-Source HPs, All Capacities.........................  2 Basic Models.
Single Package Vertical ACs and HPs......................  2 Basic Models.
Packaged Terminal ACs and HPs............................  2 Basic Models.
Air-Cooled, Variable Refrigerant Flow ACs and HPs........  2 Basic Models.
Water-Cooled, Variable Refrigerant Flow ACs and HPs......  2 Basic Models.
Computer Room Air Conditioners, Air Cooled...............  2 Basic Models.
Computer Room Air Conditioners, Water-Cooled and Glycol-   2 Basic Models.
 Cooled.
----------------------------------------------------------------------------------------------------------------
                                 (B) Commercial water heater validation classes
----------------------------------------------------------------------------------------------------------------
Gas-fired Water Heaters and Hot Water Supply Boilers Less  2 Basic Models.
 than 10 Gallons.
Gas-fired Water Heaters and Hot Water Supply Boilers       2 Basic Models.
 Greater than or Equal to 10 Gallons.
Oil-fired Water Heaters and Hot Water Supply Boilers Less  2 Basic Models.
 than 10 Gallons.
Oil-fired Water Heaters and Hot Water Supply Boilers       2 Basic Models.
 Greater than or Equal to 10 Gallons.
Electric Water Heaters...................................  2 Basic Models.
Heat Pump Water Heaters..................................  2 Basic Models.
Unfired Hot Water Storage Tanks..........................  2 Basic Models.
----------------------------------------------------------------------------------------------------------------
                               (C) Commercial packaged boilers validation classes
----------------------------------------------------------------------------------------------------------------
Gas-fired, Hot Water Only Commercial Packaged Boilers....  2 Basic Models.
Gas-fired, Steam Only Commercial Packaged Boilers........  2 Basic Models.
Gas-fired Hot Water/Steam Commercial Packaged Boilers....  2 Basic Models.
Oil-fired, Hot Water Only Commercial Packaged Boilers....  2 Basic Models.
Oil-fired, Steam Only Commercial Packaged Boilers........  2 Basic Models.
Oil-fired Hot Water/Steam Commercial Packaged Boilers....  2 Basic Models.
----------------------------------------------------------------------------------------------------------------
                                    (D) Commercial furnace validation classes
----------------------------------------------------------------------------------------------------------------
Gas-fired Furnaces.......................................  2 Basic Models.
Oil-fired Furnaces.......................................  2 Basic Models.
----------------------------------------------------------------------------------------------------------------
                          (E) Commercial refrigeration equipment validation classes \1\
----------------------------------------------------------------------------------------------------------------
Self-Contained Open Refrigerators........................  2 Basic Models.
Self-Contained Open Freezers.............................  2 Basic Models.
Remote Condensing Open Refrigerators.....................  2 Basic Models.
Remote Condensing Open Freezers..........................  2 Basic Models.
Self-Contained Closed Refrigerators......................  2 Basic Models.
Self-Contained Closed Freezers...........................  2 Basic Models.
Remote Condensing Closed Refrigerators...................  2 Basic Models.

[[Page 6977]]

 
Remote Condensing Closed Freezers........................  2 Basic Models.
----------------------------------------------------------------------------------------------------------------
\1\ The minimum number of tests indicated above must be comprised of a transparent model, a solid model, a
  vertical model, a semi-vertical model, a horizontal model, and a service-over-the counter model, as applicable
  based on the equipment offering. However, manufacturers do not need to include all types of these models if it
  will increase the minimum number of tests that need to be conducted.

* * * * *
0
5. Section 429.134 is amended by adding paragraph (s) to read as 
follows:


Sec.  429.134   Product-specific enforcement provisions.

* * * * *
    (s) Computer room air conditioners. The following provisions apply 
for assessment and enforcement testing of models subject to energy 
conservation standards denominated in terms of NSenCOP.
    (1) Verification of net sensible cooling capacity. The net sensible 
cooling capacity of each tested unit of the basic model will be 
measured pursuant to the test requirements of part 431, subpart F, 
appendix E1 of this chapter. The mean of the net sensible cooling 
capacity measurement(s) will be used to determine the applicable energy 
conservation standards for purposes of compliance.
    (2) Specific components. For basic models that include individual 
models distributed in commerce with any of the specific components 
listed at Sec.  429.43(a)(4)(i), the following provisions apply. For 
purposes of this paragraph, ``otherwise identical'' means differing 
only in terms of the presence of specific components listed at Sec.  
429.43(a)(4)(i).
    (i) If the basic model includes only individual models distributed 
in commerce with a specific component, or does not include any 
otherwise identical individual models without the specific component, 
DOE may assess compliance for the basic model based on testing of an 
individual model with the component present (and consistent with any 
component-specific test provisions specified in section 4 of appendix 
E1 to subpart F of part 431 of this chapter).
    (ii) If the basic model includes both individual models distributed 
in commerce with a specific component and otherwise identical 
individual models without the specific component, DOE will assess 
compliance for the basic model based on testing an otherwise identical 
model within the basic model that does not include the component, 
unless DOE is not able to obtain an individual model for testing that 
does not include the component. In such a situation, DOE will assess 
compliance for the basic model based on testing of an individual model 
with the specific component present (and consistent with any component-
specific test provisions specified in section 4 of appendix E1 to 
subpart F of part 431 of this chapter).

PART 431--ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND 
INDUSTRIAL EQUIPMENT

0
6. The authority citation for part 431 continues to read as follows:

    Authority:  42 U.S.C. 6291-6317; 28 U.S.C. 2461 note.

0
7. Section 431.92 is amended by:
0
a. Revising the introductory paragraph;
0
b. Adding, in alphabetical order, definitions for ``Ceiling-mounted,'' 
``Ceiling-mounted ducted,'' ``Ceiling-mounted non-ducted'';
0
c. Revising the definition for ``Computer room air conditioner''; and
0
d. Adding, in alphabetical order, definitions for ``Down-flow,'' 
``Floor-mounted,'' ``Fluid economizer,'' ``Horizontal-flow,'' ``Net 
sensible coefficient of performance, or NSenCOP'' ``Roof-mounted,'' 
``Up-flow,'' ``Up-flow ducted,'' ``Up-flow non-ducted,'' and ``Wall-
mounted.''
    The revisions and additions read as follows:


Sec.  431.92   Definitions concerning commercial air conditioners and 
heat pumps.

    The following definitions apply for purposes of this subpart F, and 
of subparts J through M of this part. Any words or terms not defined in 
this section or elsewhere in this part shall be defined as provided in 
42 U.S.C. 6311. For definitions that reference the application for 
which the equipment is marketed, DOE will consider any publicly 
available document published by the manufacturer (e.g., product 
literature, catalogs, and packaging labels) to determine marketing 
intent.

    Note:  For definitions in this section that pertain to computer 
room air conditioners, italicized terms within a definition indicate 
terms that are separately defined in this section.

* * * * *
    Ceiling-mounted means a configuration of a computer room air 
conditioner for which the unit housing the evaporator coil is 
configured for indoor installation on or through a ceiling.
    Ceiling-mounted ducted means a configuration of a ceiling-mounted 
computer room air conditioner that is configured for use with discharge 
ducting (even if the unit is also configurable for use without 
discharge ducting).
    Ceiling-mounted non-ducted means a configuration of a ceiling-
mounted computer room air conditioner that is configured only for use 
without discharge ducting.
* * * * *
    Computer room air conditioner means commercial package air-
conditioning and heating equipment (packaged or split) that is marketed 
for use in computer rooms, data processing rooms, or other information 
technology cooling applications and not a covered consumer product 
under 42 U.S.C. 6291(1)-(2) and 42 U.S.C. 6292. A computer room air 
conditioner may be provided with, or have as available options, an 
integrated humidifier, temperature and/or humidity control of the 
supplied air, and reheating function. Computer room air conditioners 
include, but are not limited to, the following configurations as 
defined in this section: Down-flow, horizontal-flow, up-flow ducted, 
up-flow non-ducted, ceiling-mounted ducted, ceiling mounted non-ducted, 
roof-mounted, and wall-mounted.
* * * * *
    Down-flow means a configuration of floor-mounted computer room air 
conditioner in which return air enters above the top of the evaporator 
coil and discharge air leaves below the bottom of the evaporator coil.
* * * * *
    Floor-mounted means a configuration of a computer room air 
conditioner for which the unit housing the evaporator coil is 
configured for indoor installation on a solid floor, raised floor, or 
floor-

[[Page 6978]]

stand. Floor-mounted computer room air conditioners are one of the 
following three configurations: Down-flow, horizontal-flow, and up-
flow.
    Fluid economizer means an option available with a computer room air 
conditioner in which a fluid (other than air), cooled externally from 
the unit, provides cooling of the indoor air to reduce or eliminate 
unit compressor operation when outdoor temperature is low. The fluid 
may include, but is not limited to, chilled water, water/glycol 
solution, or refrigerant. An external fluid cooler such as, but not 
limited to a dry cooler, cooling tower, or condenser is utilized for 
heat rejection. This component is sometimes referred to as a free 
cooling coil, econ-o-coil, or economizer.
* * * * *
    Horizontal-flow means a configuration of a floor-mounted computer 
room air conditioner that is neither a down-flow nor an up-flow unit.
* * * * *
    Net sensible coefficient of performance, or NSenCOP, means a ratio 
of the net sensible cooling capacity in kilowatts to the total power 
input in kilowatts for computer room air conditioners, as measured in 
appendix E1 of this subpart.
* * * * *
    Roof-mounted means a configuration of a computer room air 
conditioner that is not wall-mounted, and for which the unit housing 
the evaporator coil is configured for outdoor installation.
* * * * *
    Up-flow means a configuration of a floor-mounted computer room air 
conditioner in which return air enters below the bottom of the 
evaporator coil and discharge air leaves above the top of the 
evaporator coil.
    Up-flow ducted means a configuration of an up-flow computer room 
air conditioner that is configured for use with discharge ducting (even 
if the unit is also configurable for use without discharge ducting).
    Up-flow non-ducted means a configuration of an up-flow computer 
room air conditioner that is configured only for use without discharge 
ducting.
* * * * *
    Wall-mounted means a configuration of a computer room air 
conditioner for which the unit housing the evaporator coil is 
configured for installation on or through a wall.
* * * * *
0
8. Amend Sec.  431.95 by:
0
a. Revising paragraph (a);
0
b. Adding new paragraph (b)(8);
0
c. Revising paragraphs (c)(2) and (4); and
0
d. Adding paragraph (c)(5).
    The additions and revisions read as follows:


Sec.  431.95   Materials incorporated by reference.

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register in accordance 
with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other 
than that specified in this section, DOE must publish a document in the 
Federal Register and the material must be available to the public. All 
approved material is available for inspection at the U.S. Department of 
Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Program, Sixth Floor, 950 L'Enfant Plaza SW, Washington, 
DC 20024, (202)-586-9127, [email protected], https://www.energy.gov/eere/buildings/building-technologies-office, and may be obtained from 
the other sources in this section. It is also available for inspection 
at the National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, email: 
[email protected], or go to: www.archives.gov/federal-register/cfr/ibr-locations.html.
    (b) * * *
* * * * *
    (8) AHRI Standard 1360-202X Draft, (``AHRI 1360-202X Draft''), 
``Performance Rating of Computer and Data Processing Room Air 
Conditioners (``Draft Standard'')'', IBR approved for appendix E1 to 
this subpart.
    (c) * * *
    (2) ANSI/ASHRAE Standard 37-2009, (``ANSI/ASHRAE 37''), ``Methods 
of Testing for Rating Electrically Driven Unitary Air-Conditioning and 
Heat Pump Equipment,'' ASHRAE approved June 24, 2009, IBR approved for 
Sec.  431.96, and appendices A and E1 to this subpart.
* * * * *
    (4) ANSI/ASHRAE Standard 127-2007, (``ANSI/ASHRAE 127-2007''), 
``Method of Testing for Rating Computer and Data Processing Room 
Unitary Air Conditioners,'' approved on June 28, 2007, IBR approved for 
Sec.  431.96 and appendix E to this subpart.
    (5) ANSI/ASHRAE Standard 127-2020, (``ANSI/ASHRAE 127-2020''), 
``Method of Testing for Rating Computer and Data Processing Room 
Unitary Air Conditioners,'' ANSI approved on November 30, 2020, IBR 
approved for appendix E1 to this subpart.
* * * * *
0
9. Amend Sec.  431.96 by revising paragraph (b)(1) and table 1 to Sec.  
431.96 (immediately following paragraph (b)(2)), to read as follows:


Sec.  431.96   Uniform test method for the measurement of energy 
efficiency of commercial air conditioners and heat pumps.

* * * * *
    (b) * * * (1) Determine the energy efficiency of each type of 
covered equipment by conducting the test procedure(s) listed in table 1 
of this section along with any additional testing provisions set forth 
in paragraphs (c) through (g) of this section and appendices A through 
E1 to this subpart, that apply to the energy efficiency descriptor for 
that equipment, category, and cooling capacity. The omitted sections of 
the test procedures listed in Table 1 of this section must not be used. 
For equipment with multiple appendices listed in Table 1, consult the 
notes at the beginning of those appendices to determine the applicable 
appendix to use for testing.
* * * * *

                                Table 1 to Paragraph (b)--Test Procedures for Commercial Air Conditioners and Heat Pumps
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                                       Additional test
                                                                                                                   Use tests,       procedure provisions
          Equipment type                 Category          Cooling capacity     Energy efficiency descriptor     conditions, and     as indicated in the
                                                                                                                procedures \1\ in   listed paragraphs of
                                                                                                                                        this section
--------------------------------------------------------------------------------------------------------------------------------------------------------
Small Commercial Package Air-      Air-Cooled, 3-Phase,  <65,000 Btu/h.......  SEER and HSPF................  AHRI 210/240-2008     Paragraphs (c) and
 Conditioning and Heating           AC and HP.                                                                 (omit section 6.5).   (e).
 Equipment.
                                   Air-Cooled AC and HP  >=65,000 Btu/h and    EER, IEER, and COP...........  Appendix A to this    None.
                                                          <135,000 Btu/h.                                      subpart.
                                   Water-Cooled and      <65,000 Btu/h.......  EER..........................  AHRI 210/240-2008     Paragraphs (c) and
                                    Evaporatively-                                                             (omit section 6.5).   (e).
                                    Cooled AC.

[[Page 6979]]

 
                                                         >=65,000 Btu/h and    EER..........................  AHRI 340/360-2007     Paragraphs (c) and
                                                          <135,000 Btu/h.                                      (omit section 6.3).   (e).
                                   Water-Source HP.....  <135,000 Btu/h......  EER and COP..................  ISO Standard 13256-1  Paragraph (e).
                                                                                                               (1998).
Large Commercial Package Air-      Air-Cooled AC and HP  >=135,000 Btu/h and   EER, IEER and COP............  Appendix A to this    None.
 Conditioning and Heating                                 <240,000 Btu/h.                                      subpart.
 Equipment.
                                   Water-Cooled and      >=135,000 Btu/h and   EER..........................  AHRI 340/360-2007     Paragraphs (c) and
                                    Evaporatively-        <240,000 Btu/h.                                      (omit section 6.3).   (e).
                                    Cooled AC.
Very Large Commercial Package Air- Air-Cooled AC and HP  >=240,000 Btu/h and   EER, IEER and COP............  Appendix A to this    None.
 Conditioning and Heating                                 <760,000 Btu/h.                                      subpart.
 Equipment.
                                   Water-Cooled and      >=240,000 Btu/h and   EER..........................  AHRI 340/360-2007     Paragraphs (c) and
                                    Evaporatively-        <760,000 Btu/h.                                      (omit section 6.3).   (e).
                                    Cooled AC.
Packaged Terminal Air              AC and HP...........  <760,000 Btu/h......  EER and COP..................  Paragraph (g) of      Paragraphs (c), (e),
 Conditioners and Heat Pumps.                                                                                  this section.         and (g).
Computer Room Air Conditioners...  AC..................  <760,000 Btu/h......  SCOP.........................  Appendix E to this    None.
                                                                                                               subpart \2\.
                                                         <760,000 Btu/h......  NSenCOP......................  Appendix E1 to this   None.
                                                                                                               subpart \2\.
Variable Refrigerant Flow Multi-   AC..................  <65,000 Btu/h (3-     SEER.........................  AHRI 1230-2010 (omit  Paragraphs (c), (d),
 split Systems.                                           phase).                                              sections 5.1.2 and    (e), and (f).
                                                                                                               6.6).
                                                         >=65,000 Btu/h and    EER..........................  AHRI 1230-2010 (omit  Paragraphs (c), (d),
                                                          <760,000 Btu/h.                                      sections 5.1.2 and    (e), and (f).
                                                                                                               6.6).
Variable Refrigerant Flow Multi-   HP..................  <65,000 Btu/h (3-     SEER and HSPF................  ANSI/AHRI 1230-2010   Paragraphs (c), (d),
 split Systems, Air-cooled.                               phase).                                              (omit sections        (e), and (f).
                                                                                                               5.1.2 and 6.6).
                                                         >=65,000 Btu/h and    EER and COP..................  ANSI/AHRI 1230-2010   Paragraphs (c), (d),
                                                          <760,000 Btu/h.                                      (omit sections        (e), and (f).
                                                                                                               5.1.2 and 6.6).
Variable Refrigerant Flow Multi-   HP..................  <760,000 Btu/h......  EER and COP..................  ANSI/AHRI 1230-2010   Paragraphs (c), (d),
 split Systems, Water-source.                                                                                  (omit sections        (e), and (f).
                                                                                                               5.1.2 and 6.6).
Single Package Vertical Air        AC and HP...........  <760,000 Btu/h......  EER and COP..................  AHRI 390-2003 (omit   Paragraphs (c) and
 Conditioners and Single Package                                                                               section 6.4).         (e).
 Vertical Heat Pumps.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Incorporated by reference; see Sec.   431.95.
\2\ For equipment with multiple appendices listed in Table 1, consult the notes at the beginning of those appendices to determine the applicable
  appendix to use for testing.

* * * * *

Appendix B to Subpart F of Part 431 [Reserved]

0
10. Add and reserve Appendix B to subpart F of part 431:

Appendix C to Subpart F of Part 431 [Reserved]

0
11. Add and reserve Appendix C to subpart F of part 431.

Appendix D to Subpart F of Part 431 [Reserved]

0
12. Add and reserve Appendix D to subpart F of part 431.
0
13. Add Appendix E to subpart F of part 431 to read as follows:

Appendix E to Subpart F of Part 431--Uniform Test Method for Measuring 
the Energy Consumption of Computer Room Air Conditioners

    Note: Prior to the compliance date for any amended energy 
conservation standards based on NSenCOP for computer room air 
conditioners, representations with respect to energy use or 
efficiency of this equipment, including compliance certifications, 
must be based on testing pursuant to this appendix. Starting on the 
compliance date for any amended energy conservation standards for 
this equipment based on NSenCOP, any representations, including 
compliance certifications, made with respect to the energy use, 
power, or efficiency of this equipment must be based on testing 
pursuant to appendix E1 of this subpart. Manufacturers may use 
appendix E1 to certify compliance with any amended standards prior 
to the applicable compliance date for those standards.
    1. Incorporation by Reference. DOE incorporated by reference in 
Sec.  431.95, the entire standard for ANSI/ASHRAE 127-2007. However, 
certain enumerated provisions of ANSI/ASHRAE 127-2007, as set forth 
in paragraphs (a) of this section, are inapplicable. To the extent 
that there is a conflict between the terms or provisions of a 
referenced industry standard and the CFR, the CFR provisions 
control.
    (a) ANSI/ASHRAE 127-2007:
    (i) Section 5.11 is inapplicable as specified in section 2 of 
this appendix.
    (ii) [Reserved].
    2. General. Determine the sensible coefficient of performance 
(SCOP) in accordance with ANSI/ASHRAE 127-2007, ``Method of Testing 
for Rating Computer and Data Processing Room Unitary Air-
Conditioners''; however, Section 5.11, Tolerances, of ANSI/ASHRAE 
127-2007 is not applicable. In addition, the instructions in 
sections (3) through (4) of this appendix apply in determining SCOP. 
In cases where there is a conflict between the language of this 
appendix and ANSI/ASHRAE 127-2007, the language of this appendix 
takes precedence.

[[Page 6980]]

    3. Optional break-in period. Manufacturers may optionally 
specify a ``break-in'' period, not to exceed 20 hours, to operate 
the equipment under test prior to conducting the test method 
specified in this appendix. A manufacturer who elects to use an 
optional compressor break-in period in its certification testing 
should record this period's duration as part of the information in 
the supplemental testing instructions under 10 CFR 429.43.
    4. Additional provisions for equipment set-up. The only 
additional specifications that may be used in setting up the basic 
model for test are those set forth in the installation and operation 
manual shipped with the unit. Each unit should be set up for test in 
accordance with the manufacturer installation and operation manuals. 
Paragraphs 4.1 and 4.2 of this section provide specifications for 
addressing key information typically found in the installation and 
operation manuals.
    4.1. If a manufacturer specifies a range of superheat, sub-
cooling, and/or refrigerant pressure in its installation and 
operation manual for a given basic model, any value(s) within that 
range may be used to determine refrigerant charge or mass of 
refrigerant, unless the manufacturer clearly specifies a rating 
value in its installation and operation manual, in which case the 
specified rating value must be used.
    4.2. The airflow rate used for testing must be that set forth in 
the installation and operation manuals being shipped to the 
commercial customer with the basic model and clearly identified as 
that used to generate the DOE performance ratings. If a rated 
airflow value for testing is not clearly identified, a value of 400 
standard cubic feet per minute (scfm) per ton must be used.

0
14. Add Appendix E1 to subpart F of part 431 to read as follows:

Appendix E1 to Subpart F of Part 431--Uniform Test Method for Measuring 
the Energy Consumption of Computer Room Air Conditioners

    Note: Prior to the compliance date for any amended energy 
conservation standards based on NSenCOP for computer room air 
conditioners, representations with respect to energy use or 
efficiency of this equipment, including compliance certifications, 
must be based on testing pursuant to appendix E of this subpart. 
Starting on the compliance date for any amended energy conservation 
standards for this equipment based on NSenCOP, any representations, 
including compliance certifications, made with respect to the energy 
use, power, or efficiency of this equipment must be based on testing 
pursuant to this appendix. Manufacturers may use appendix E1 to 
certify compliance with any amended standards prior to the 
applicable compliance date for those standards.
    1. Incorporation by Reference.
    DOE incorporated by reference in Sec.  431.95, the entire 
standards for AHRI 1360-202X Draft, ANSI/ASHRAE 127-2020, ANSI/
ASHRAE Standard 37-2009. However, only certain enumerated provisions 
of AHRI 1360-202X Draft, ANSI/ASHRAE 127-2020 and ANSI/ASHRAE 
Standard 37-2009 apply as set forth in paragraphs (a), (b), and (c) 
of this section. To the extent that there is a conflict between the 
terms or provisions of a referenced industry standard and the CFR, 
the CFR provisions control.
    (a) AHRI 1360-202X Draft:
    (i) The following sections of Section 3. Definitions--3.1 (Air 
Sampling Device(s)), 3.4 (Computer and Data Processing Room Air 
Conditioner), 3.11 (Indoor Unit), 3.14 (Manufacturer's Installation 
Instruction), 3.16 (Net Sensible Cooling Capacity), 3.17 (Net Total 
Cooling Capacity), 3.21 (``Shall,'' ``Should,'' ``Recommended,'' or 
``It Is Recommended''), 3.22 (Standard Air) and 3.23 (Standard 
Airflow) are applicable as specified in section 2(a)(i) of this 
appendix,
    (ii) Section 5. Test Requirements, is applicable as specified in 
section 2(a)(ii) of this appendix,
    (iii) The following sections of Section 6. Rating Requirements--
6.1-6.3, 6.5 and 6.7 are applicable as specified in section 
2(a)(iii) of this appendix,
    (iv) Appendix C. Standard Configurations--Normative, is 
applicable as specified in section 2(a)(iv) of this appendix,
    (v) Section D3 of Appendix D. Non-Standard Indoor Fan Motors for 
CRAC units, is applicable as specified in section 2(a)(v) of this 
appendix,
    (vi) Appendix E. Method of Testing Computer and Data Processing 
Room Air Conditioners--Normative, is applicable as specified in 
section 2(a)(vi) of this appendix, and
    (vii) Appendix F. Indoor and Outdoor Air Condition Measurement--
Normative is applicable as specified in section 2(a)(vii) of this 
appendix.
    (b) ANSI/ASHRAE 127-2020:
    (i) Appendix A--Figure A-1, Test duct for measuring air flow and 
static pressure on downflow units, is applicable as specified in 
section 2(b)(i) of this appendix.
    (c) ASHRAE 37-2009:
    (i) Section 1 Purpose is inapplicable as specified in section 
2(c)(i) of this appendix,
    (ii) Section 2 Scope is inapplicable as specified in section 
2(c)(ii) of this appendix, and
    (iii) Section 4 Classification is inapplicable as specified in 
section 2(c)(iii) of this appendix.
    2. General. Determine the net sensible coefficient of 
performance (NSenCOP), in accordance with AHRI 1360-202X Draft, 
``Performance Rating of Computer And Data Processing Room Air 
Conditioners'', ANSI/ASHRAE 127-2020, and ANSI/ASHRAE 37-2009 
``Methods of Testing for Rating Electronically Driven Unitary Air-
Conditioning and Heat-Pump Equipment''. However only enumerated 
provisions of AHRI 1360-202X Draft, ANSI/ASHRAE 127-2020 and ANSI/
ASHRAE 37-2009 are applicable, as set forth in paragraphs (a), (b), 
and (c) of this appendix. In addition, the instructions in section 3 
of this appendix apply to determining NSenCOP. In cases where there 
is a conflict between these sources, the language of this appendix 
takes highest precedence, followed by AHRI 1360-202X Draft, followed 
by ANSI/ASHRAE 127-2020, followed by ANSI/ASHRAE 37-2009. Any 
subsequent amendment to a referenced document by a standard-setting 
organization will not affect the test procedure in this appendix, 
unless and until this test procedure is amended by DOE. Material is 
incorporated as it exists on the date of the approval, and a notice 
of any change in the incorporation will be published in the Federal 
Register.
    (a) Included sections of AHRI 1360-202X Draft.
    (i) The following sub-sections of Section 3. Definitions--3.1 
(Air Sampling Device(s)), 3.4 (Computer and Data Processing Room Air 
Conditioner), 3.11 (Indoor Unit), 3.14 (Manufacturer's Installation 
Instruction), 3.16 (Net Sensible Cooling Capacity), 3.17 (Net Total 
Cooling Capacity), 3.21 (``Shall,'' ``Should,'' ``Recommended,'' or 
``It Is Recommended''), 3.22 (Standard Air) and 3.23 (Standard 
Airflow),
    (ii) Section 5. Test Requirements,
    (iii) The following sections of Section 6. Rating Requirements--
6.1-6.3, 6.5 and 6.7,
    (iv) Appendix C. Standard Configurations--Normative,
    (v) Section D3 of Appendix D. Non-Standard Indoor Fan Motors for 
CRAC units,
    (vi) Appendix E. Method of Testing Computer and Data Processing 
Room Air Conditioners--Normative, and
    (vii) Appendix F. Indoor and Outdoor Air Condition Measurement--
Normative.
    (b) Included section of ANSI/ASHRAE 127-2020
    (i) Figure A-1, Test duct for measuring air flow and static 
pressure on downflow units,
    (ii) [Reserved].
    (c) Excepted sections of ANSI/ASHRAE 37-2009:
    (i) Section 1. Purpose,
    (ii) Section 2. Scope,
    (iii) Section 4. Classifications.
    3. Test Conditions.
    3.1. Test Conditions for Certification. When testing to certify 
to the energy conservation standards in Sec.  431.97, test use the 
``Indoor Return Air Temperature Standard Rating Conditions'' and 
``Heat Rejection/Cooling Fluid Standard Rating Conditions'' 
conditions, as specified in Tables 3 and 4 of AHRI 1360-202X Draft, 
respectively.
    4. Set-Up and Test Provisions for Specific Components. When 
testing a unit that includes any of the features listed in Table 4.1 
of this appendix, test in accordance with the set-up and test 
provisions specified in Table 4.1 of this appendix.

[[Page 6981]]



           Table 4.1--Test Provisions for Specific Components
------------------------------------------------------------------------
          Component                Description         Test provisions
------------------------------------------------------------------------
Air Economizers.............  An automatic system   For any air
                               that enables a        economizer that is
                               cooling system to     factory-installed,
                               supply outdoor air    place the
                               to reduce or          economizer in the
                               eliminate the need    100% return
                               for mechanical        position and close
                               cooling during mid    and seal the
                               or cold weather.      outside air dampers
                                                     for testing. For
                                                     any modular air
                                                     economizer shipped
                                                     with the unit but
                                                     not factory-
                                                     installed, do not
                                                     install the
                                                     economizer for
                                                     testing.
Process Heat recovery/        A heat exchanger      Disconnect the heat
 Reclaim Coils/Thermal         located inside the    exchanger from its
 Storage.                      unit that             heat source for
                               conditions the        testing.
                               equipment's supply
                               air using energy
                               transferred from an
                               external source
                               using a vapor, gas,
                               or liquid.
Evaporative Pre-cooling of    Water is evaporated   Disconnect the unit
 Condenser Intake Air.         into the air          from the water
                               entering the air-     supply for testing
                               cooled condenser to   (i.e., operate
                               lower the dry-bulb    without active
                               temperature and       evaporative
                               thereby increase      cooling).
                               efficiency of the
                               refrigeration cycle.
Steam/Hydronic Heat Coils...  Coils used to         Test with steam/
                               provide               hydronic heat coils
                               supplemental heat.    in place but
                                                     providing no heat.
Refrigerant Reheat Coils....  A heat exchanger      De-activate
                               located downstream    refrigerant re-heat
                               of the indoor coil    coils so as to
                               that heats the        provide the minimum
                               supply air during     (none if possible)
                               cooling operation     reheat achievable
                               using high pressure   by the system
                               refrigerant in        controls.
                               order to increase
                               the ratio of
                               moisture removal to
                               cooling capacity
                               provided by the
                               equipment.
Fire/Smoke/Isolation Dampers  A damper assembly     For any fire/smoke/
                               including means to    isolation dampers
                               open and close the    that are factory-
                               damper mounted at     installed, close
                               the supply or         and seal the
                               return duct opening   dampers for
                               of the equipment.     testing. For any
                                                     modular fire/smoke/
                                                     isolation dampers
                                                     shipped with the
                                                     unit but not
                                                     factory-installed,
                                                     do not install the
                                                     dampers for
                                                     testing.
Harmonic Distortion           A high voltage        Remove harmonic
 Mitigation Devices.           device that reduces   distortion
                               harmonic distortion   mitigation devices
                               measured at the       for testing.
                               line connection of
                               the equipment that
                               is created by
                               electronic
                               equipment in the
                               unit.
Humidifiers.................  A device placed in    Test with
                               the supply air        humidifiers in
                               stream for moisture   place but providing
                               evaporation and       no humidification.
                               distribution. The
                               device may require
                               building steam or
                               water, hot water,
                               electricity, or gas
                               to operate.
Electric Reheat Elements....  Electric reheat       Test with electric
                               elements and          reheat elements in
                               controls that are     place but providing
                               located downstream    no heat.
                               of the cooling coil
                               that may heat the
                               air using
                               electrical power
                               during the
                               dehumidification
                               process.
Non-standard Power            A device applied to   Disable the non-
 Transformer.                  a high voltage load   standard power
                               that transforms       transformer during
                               input electrical      testing.
                               voltage to that
                               voltage necessary
                               to operate the load.
Chilled Water Dual Cooling    A secondary chilled   Test with chilled
 Coils.                        water coil added in   water dual cooling
                               the indoor air        coils in place but
                               stream for use as     providing no
                               the primary or        cooling.
                               secondary cooling
                               circuit in
                               conjunction with a
                               separate chiller.
High-Effectiveness Indoor     Indoor air filters    Test with the filter
 Air Filtration.               with greater air      offered by the
                               filtration            manufacturer with
                               effectiveness than    the least air
                               Minimum Efficiency    filtration
                               Reporting Value       effectiveness that
                               (MERV) 8 for ducted   meets or exceeds
                               units and MERV 1      MERV 8 for ducted
                               for non-ducted        units and MERV 1
                               units.                for non-ducted
                                                     units.
------------------------------------------------------------------------

[FR Doc. 2022-02279 Filed 2-4-22; 8:45 am]
BILLING CODE 6450-01-P